Senior Auditor, Broker Dealer/Asset Management

Charles Schwab; Phoenix (AZ); Híbrido; USD 90.000 - 130.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

401(k) matching

Employee stock purchase plan

Paid vacation and sabbatical benefit

Parental leave and family benefits

Tuition reimbursement

Descripción de la vacante

The Charles Schwab Corporation is seeking a Senior Auditor for its Broker-Dealer/Asset Management team. The role involves planning and executing internal audits to improve risk management, controls, and governance across Schwab’s broker-dealer and asset management businesses.

Reporting to a Director or Senior Manager, you will mentor teammates, assist with training, and help drive operational improvements. A CPA/CIA/CISA or equivalent certification is preferred, with a Bachelor’s degree required.

Formación

• 3–5+ years of financial services-related audit experience.
• Broker-Dealer/Asset Management internal audit experience is a plus.
• CPA, CIA, CISA preferred; other certifications considered.

Responsabilidades

• Participate in planning and execution of internal audit assignments per IIA standards.
• Draft audit observations and debrief with partners.
• Conduct validation testing of audit issue action plans.

Conocimientos

Audit experience

Regulatory compliance

Analytical skills

Communication

Team collaboration

Educación

Bachelor's degree

CPA/CIA/CISA preferred

Descripción del empleo

Your opportunity

The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to figure out whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls.

The Broker-Dealer/Asset Management enterprise team is seeking a Senior Auditor (Senior Specialist). The Broker-Dealer/Asset Management team provides internal audit coverage of the business process activities and compliance functions for Schwab’s registered domestic and international broker-dealers and registered retail and institutional investment advisors. The team’s scope includes audit execution and oversight for Schwab’s: (i) client-facing activities supporting retail investors and independent investment advisors on Schwab’s platform and their clients; (ii) client product solutions and market expertise; (iii) portfolio advisory services and research; (iv) asset management functions; (v) corporate client services, including stock plan services, retirement plan services, and compliance and employee trade monitoring solutions; and (vi) middle and back office operational functions.

Reporting to a Director or Senior Manager in the Broker-Dealer/Asset Management enterprise team, the Senior Auditor will have responsibility for assisting in the 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.

What You’ll Do

• Audit Execution: Participate in the planning and execution of internal audit assignments, ensuring work is performed in accordance with IIA standards and IAD policies and procedures. Responsibilities will include: scheduling and participation in audit meetings; participation in scoping discussions; drafting of audit deliverables; 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 direct 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 operational improvement or internal team needs.

What you have

• 3 - 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer/Asset Management experience specific to internal audit and/or similar Big 4 accounting or regulatory experience a plus.
• Demonstrated experience performing internal audits amongst a complex operational and regulatory environment.
• Ability to work as a member of a project team and cultivate a strong working relationship with external co-sourcing providers and internal lines of businesses.
• CPA, CIA, CISA strongly preferred. Other relevant certifications will be considered.
• Understanding of risks and internal controls and the ability to evaluate and figure out adequacy and efficiency of controls.
• Stays current on industry and regulatory issues and standard methodologies for AML; 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 shown ability to articulate effectively and authoritatively.
• Bachelor’s degree required.

What’s in it for you

At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

• 401(k) with company match and Employee stock purchase plan
• Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
• Paid parental leave and family building benefits
• Tuition reimbursement
• Health, dental, and vision insurance