Managing Director, Internal Audit – Client & Product

Charles Schwab; Omaha (NE); Hybrid; USD 180,000 - 240,000; Full time

Benefits offered by this job

401(k) with company match

Employee stock purchase plan

Paid time off and sabbatical program

Job summary

Charles Schwab seeks a Managing Director, Internal Audit, Client and Product Distribution to lead audits across client acquisition, service, and distribution activities. You will drive risk assessments, issue validation, and regulatory interactions while guiding a large portfolio.

The role emphasizes data analytics and AI opportunities, collaboration with senior stakeholders, and governance improvements within a brokerage/wealth management context. CPA/CIA/CFSA/CPA preferred.

Qualifications

• 12+ years of corporate internal audit experience in brokerage/wealth management.
• Demonstrated experience leading internal audit teams in a complex environment.
• Strong governance, risk, and controls knowledge with effective communication.

Responsibilities

• Lead audit leadership and execution across the audit plan.
• Oversee issue validation testing and closure of findings.
• Oversee risk assessment and audit planning for the portfolio.
• Promote data analytics, automation, and AI to improve audit effectiveness.
• Manage audit timelines, budget, and resources.
• Engage with senior business partners and regulators as needed.
• Lead and mentor audit talent and succession planning.
• Evaluate regulatory responses and accompany regulatory inquiries.
• Support policy and strategic initiatives within the department.

Skills

Audit leadership

Governance & controls

Analytical thinking

Communication

Regulatory knowledge

Relationship building

Industry expertise

Education

Bachelor’s degree

Advanced degree

Certifications: CIA, CFSA, FINRA 7/24, CPA

Job description

Charles Schwab seeks a Managing Director, Internal Audit, Client and Product Distribution to lead audits across client acquisition, service, and distribution activities. You will drive risk assessments, issue validation, and regulatory interactions while guiding a large portfolio.

The role emphasizes data analytics and AI opportunities, collaboration with senior stakeholders, and governance improvements within a brokerage/wealth management context. CPA/CIA/CFSA/CPA preferred.