Director, Asset Management Internal Audit

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

Résumé du poste

The Charles Schwab Corporation’s Internal Audit Department seeks an Internal Audit Director to lead audit coverage of asset management functions, products, and services across the company, including registered investment companies and separately managed accounts. Reporting to the Managing Director for Asset and Wealth Management, you will shape a risk-based approach and deliver high-quality assurance.

You will oversee planning, execution, and reporting, manage stakeholders, mentor staff, and

Qualifications

• 12+ years of asset management experience in audit, compliance or risk.
• Knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
• Experience with mutual funds, ETFs, or separately managed accounts.
• Led internal audits involving business and technology risks in a complex environment.
• Ability to lead project teams and collaborate with regulators and external providers.
• Strong understanding of risk management, internal controls, governance, and regulatory requirements.
• Excellent verbal and written communication; ability to influence with data-driven insight.
• Stays current on industry trends and regulatory developments.

Responsabilités

• 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 technology environments.
• Support use of data analytics and AI to improve audit effectiveness and efficiency.
• Oversee testing, issue development, root cause analysis, and remediation communications.
• Deliver high-quality deliverables and sign-off on workpapers and reports.
• Collaborate with key business partners during audit execution.
• Oversee timelines, budget, and resourcing for audits.

Connaissances

Leadership

Stakeholder management

Data analytics

Regulatory knowledge

Communication skills

Strategic thinking

Formation

Bachelor’s degree

CPA/CIA/CISA preferred

Description du poste

The Charles Schwab Corporation’s Internal Audit Department seeks an Internal Audit Director to lead audit coverage of asset management functions, products, and services across the company, including registered investment companies and separately managed accounts. Reporting to the Managing Director for Asset and Wealth Management, you will shape a risk-based approach and deliver high-quality assurance.

You will oversee planning, execution, and reporting, manage stakeholders, mentor staff, and