Senior Auditor, Broker-Dealer/Asset Mgmt - Hybrid Role

Charles Schwab; Phoenix (AZ); Hybrid; USD 90,000 - 130,000; Full time

Benefits offered by this job

401(k) matching

Employee stock purchase plan

Paid vacation and sabbatical benefit

Parental leave and family benefits

Tuition reimbursement

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Audit experience

Regulatory compliance

Analytical skills

Communication

Team collaboration

Education

Bachelor's degree

CPA/CIA/CISA preferred

Job description

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.