Asset Management Internal Audit Director — Hybrid

Charles Schwab; Lone Tree (CO); Sur place; USD 180 000 - 240 000; Plein temps

Avantages offerts par ce poste

401(k) with company match

Employee stock purchase plan

Sabbatical after 5 years

Tuition reimbursement

Health, dental, and vision insurance

Résumé du poste

The Charles Schwab Corporation's Internal Audit Department is seeking an Internal Audit Director to oversee asset management audit coverage, including registered investment funds, separately managed accounts, and other asset management products. The role focuses on governance, risk management, and regulatory compliance across fiduciary responsibilities and applicable securities laws.

Reporting to the Managing Director for Asset and Wealth Management, you will develop risk-based coverage, lead a

Qualifications

• 12+ years of direct asset management experience or equivalent audit/risk roles.
• Strong knowledge of Investment Company Act of 1940 and Advisers Act of 1940.
• Experience leading internal audits with business and technology risks.
• Ability to manage cross-functional teams and external co-sourcing partners.

Responsabilités

• Lead audit planning, execution, and reporting for asset management functions across the firm.
• Ensure audit scope addresses key risks, controls, and dependencies.
• Utilize data analytics and AI to enhance audit effectiveness.
• Oversee issue validation, root cause analysis, and remediation tracking.
• Deliver high-quality audit workpapers and final reports.
• Engage with senior leadership to communicate findings and recommendations.
• Manage timelines, budgets, and resource planning.

Connaissances

Asset management audit

Leadership & mentoring

Regulatory knowledge

Stakeholder management

Analytical reasoning

Formation

Bachelor's degree

CPA/CIA/CISA preferred

Description du poste

The Charles Schwab Corporation's Internal Audit Department is seeking an Internal Audit Director to oversee asset management audit coverage, including registered investment funds, separately managed accounts, and other asset management products. The role focuses on governance, risk management, and regulatory compliance across fiduciary responsibilities and applicable securities laws.

Reporting to the Managing Director for Asset and Wealth Management, you will develop risk-based coverage, lead a