Charles Schwab

Senior IT Auditor- Broker Dealer/Asset Management

Charles Schwab • $100K — $120K *
Austin, TX 78745In-Person
Finance & Insurance
Less than 5 years of experience
Today
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Job Overview by Ladders

Qualifications

  • 3-5+ years of IT audit experience; financial services or Big 4 background preferred.
  • Experience with internal audits in complex operational and regulatory settings.
  • Solid understanding of control theory and professional auditing practices.
  • Team player capable of collaborating with co-sourcing providers and business lines.
  • CPA, CIA, or CISA certification preferred; other relevant credentials considered.
  • Strong grasp of risk assessment and internal controls evaluation.
  • Knowledgeable of current industry and regulatory issues.

Responsibilities

  • Participate in planning and execution of technology-specific internal audit assignments.
  • Identify and draft audit observations based on testing results for management review.
  • Conduct validation testing on completed audit action plans.
  • Participate in annual Risk Assessment meetings and document risk ratings.
  • Mentor and support audit team members throughout assignments.
  • Complete required training and administrative tasks for the firm.
  • Assist with special projects focusing on business process improvement.

Benefits

  • Opportunities for professional development and training.
  • Mentorship and support from experienced colleagues.
  • Exposure to a diverse range of audit assignments.
  • Collaboration with both internal teams and external partners.
Full Job Description
Your Opportunity

The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior IT Auditor (Senior Specialist, Internal Audit - Technology is our internal title) primarily responsible for audit activities covering BDAM focused on key application risks and controls. Application audits focus on automated functionality and data integrity that support business processes such as segregation of duties, configuration management, system interfaces, and data processing. 

 

Reporting to a Director or Senior Manager of the BDAM Application Controls team, the Senior IT Auditor will have responsibility for the independent and objective assurance activity designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes. This position will focus on application technology risks within the coordinated audits, working closely with the operational auditors. This position is also responsible for working with audit resources provided by an external co-sourcing provider.

What you’re good at

  • Audit Execution: Participate in the planning and execution of internal audit assignments specific to technology. Ensure work is performed in accordance with IIA standards and IAD policies and procedures. Responsibilities will include: scheduling and participation in audit meetings; participation in prioritization discussions; drafting of audit work; design and execution of testing; and completion and review of work papers. Additionally, assist in the tracking of team operations including audit status, issue status, and budgets.
  • Issues Identification: Based on the results of audit testing, identify and draft audit observations for review by the Internal Audit Manager/Senior Manager (and above levels) and subsequent debriefing with the key partners (typically VP-level and below).
  • Issue Management and Validation: Conduct validation testing of the audit issue action plans completed by the business.
  • Risk Assessment: Under the supervision of IAD Management, participate in the annual Risk Assessment process, including scheduling and participation in meetings with partners, and the scoring and documentation of risk ratings.
  • Coaching: Provide support, mentoring, and feedback to audit team members throughout the audit. Provide assistance with onboarding and ongoing support to new team members.
  • Administration/Training: Completion of firm-wide and departmental administration and training requirements.
  • Other Initiatives/Special Projects: As needed, assist with special projects related to business process improvement or internal team needs.
What you have
  • 3 - 5+ years of information technology audit experience. Financial services and/or Big 4 Accounting experience a plus.
  • Demonstrated experience performing internal audits and their associated team members, among a complex operational and regulatory environment.
  • Knowledge and experience in control theory and professional auditing practices.
  • Ability to work as a member of a project team and champion a strong working relationship with external co-sourcing providers and internal lines of businesses.
  • CPA, CIA, or CISA preferred. Other relevant certifications will be considered.
  • Understanding of risks and internal controls and the ability to evaluate and determine adequacy and effectiveness of controls.
  • Knows the latest on industry and regulatory issues and standard methodologies; imparts this knowledge to the team and the auditees.
  • Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions.
  • Strong verbal and written communication skills with a demonstrated ability to articulate effectively and professionally.
  • Uses relationships and insights to successfully influence others. Builds authentic and trusted relationships to create alignment and support.
  • Bachelor’s degree strongly preferred.

About Charles Schwab

Charles Schwab is a financial services company that provides a full range of securities, brokerage, banking, money management, financial advisory, investor, and retirement plan services. It operates in four main divisions; investing, wealth management, banking, and trading. Charles Schwab provides a full-service brokerage platform that serves individual investors who invest on their own or through a workplace-sponsored retirement or equity plan, as well as banking through Schwab Bank. The firm was founded in 1973 and is headquartered in San Francisco, California.

Charles Schwab Careers

Join the vibrant team at Charles Schwab, a leader in global finance, where your career is propelled by innovation, leadership, and a commitment to diversity and professional growth. At Charles Schwab, we offer more than just job opportunities; we provide a platform for you to make a significant impact on the industry and our clients' lives.

Work You’ll Do

At Charles Schwab, we are dedicated to helping our clients manage their financial futures. Being part of our team means you'll work alongside some of the most skilled professionals in the financial services industry. Our culture thrives on teamwork, integrity, and relentless dedication to our clients. Whether you're looking for a position in financial consulting, technology, or administrative support, Charles Schwab offers a dynamic work environment where your skills will be honed and your achievements recognized.

Innovate and Lead

Embrace the opportunity to lead through innovation. Charles Schwab’s commitment to technology and innovation is fundamental to our service delivery. By joining our team, you will be at the forefront of developing new solutions that redefine the future of finance. Your leadership can guide significant projects that impact our company and the industry.

Grow Your Career

Charles Schwab believes in fostering the growth of its employees. Whether through professional development programs, diversity training, or leadership workshops, we ensure that our team members receive the support and training they need to advance their careers. With a variety of career paths available, your job at Schwab can evolve with your interests and expertise.

Internship and Employment Opportunities

Start your professional journey with Charles Schwab through our internship programs or full-time employment opportunities. We seek individuals who are passionate, curious, and ready to drive change. A career at Schwab is not just about having a job; it's about building a lasting relationship with a company that values your potential.

Benefits and Culture

Charles Schwab is renowned for its employee-friendly culture. We offer a comprehensive benefits package that supports the health, financial stability, and work-life balance of our team members. From competitive salaries and bonuses to health insurance and retirement plans, Schwab ensures that your career is as rewarding as it is enriching.

Networking and Professional Development

Expand your professional network and enhance your skills through our various networking events, mentorship programs, and training sessions. At Charles Schwab, we believe in leveraging collective expertise to foster learning and innovation. Engage with leaders, gain insights from experienced professionals, and build relationships that will aid your career trajectory.

Join Our Team

Explore the numerous career paths available at Charles Schwab and discover how your talents can be utilized to their fullest potential. Search open positions that match your skills and interests. We are continuously hiring across various disciplines and look forward to adding innovative, driven individuals to our team.

Stay Connected

Keep up to date with the latest from Charles Schwab Careers by subscribing to our job alert emails. Tailor your subscription to receive updates that align with your career preferences and be the first to know about new openings, company news, and professional tips.

Explore Charles Schwab Jobs

Ready to take the next step in your career? Visit our careers page to review current job openings, submit your resume, and prepare for your interview. At Charles Schwab, your future is waiting. [SEARCH CHARLES SCHWAB JOBS] Join Charles Schwab today and be part of a team that values diversity, innovation, and leadership—where your career can thrive in the exciting world of finance.
Learn more about Charles Schwab
Size
34,200 employees
Market Cap
$151.6 billion
Industry
Finance & Insurance
Net Income
$3.2 billion
Founded
1973
5 Year Trend
+20%
Revenue
$12.1 billion
NASDAQ
SCHW
* Ladders Estimates

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