Asset Management Audit Director — Strategy & Risk Leader

Charles Schwab; Austin (TX); On-site; USD 180,000 - 240,000; Full time

Benefits offered by this job

401(k) with company match

Health insurance

Parental leave

Tuition reimbursement

Sabbatical after 5 years

Job summary

Charles Schwab is seeking an Internal Audit Director to lead the Broker-Dealer/Asset Management audit coverage across asset management products and services. The role requires deep knowledge of asset management and relevant fiduciary and securities regulations.

Reporting to the Managing Director of Asset and Wealth Management, you will guide the risk-based coverage approach, drive high-quality audit results, manage stakeholder relationships, and develop talent within the team.

Qualifications

• 12+ years in asset management, preferably in audit, compliance, or risk.
• Knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
• Experience leading internal audits involving business and technology risks in a complex environment.

Responsibilities

• Lead planning, execution, and reporting of internal audit assignments across multiple business functions.
• Ensure audit scope addresses key risks, controls, and dependencies across business and tech environments.
• Support data analytics and AI to enhance audit effectiveness and efficiency.
• Oversee issue development, root cause analysis, and audit reporting.

Skills

Asset management experience

Leadership

Regulatory knowledge

Audit experience

Education

Bachelor's degree

Job description

Charles Schwab is seeking an Internal Audit Director to lead the Broker-Dealer/Asset Management audit coverage across asset management products and services. The role requires deep knowledge of asset management and relevant fiduciary and securities regulations.

Reporting to the Managing Director of Asset and Wealth Management, you will guide the risk-based coverage approach, drive high-quality audit results, manage stakeholder relationships, and develop talent within the team.