Senior Auditor, Financial Services Risk & Compliance

Charles Schwab; Lone Tree (CO); Hybrid; USD 90,000 - 130,000; Full time

Job summary

The Charles Schwab Corporation’s Internal Audit Department seeks a Senior Auditor (Senior Specialist) for the Broker-Dealer/Asset Management enterprise team. The role covers audit execution, risk assessment, and issue validation across client-facing activities, asset management, and back-office functions.

Reporting to a Director or Senior Manager, you will mentor teammates, manage audit status and budgets, and contribute to governance improvements within a complex regulatory environment.

Qualifications

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

Responsibilities

• Audit Execution: plan and execute internal audit assignments per IIA standards and IAD policies; draft deliverables and supervision of work papers.
• Identify audit observations and present to partners; assist in debriefings with VP-level stakeholders.
• Validate audit issue actions and participate in annual risk assessment with partners.
• Provide coaching and onboarding support to team members; complete training requirements.
• Assist with special projects related to operational improvements.

Skills

Financial services audit

Regulatory environment

Communication skills

CPA/CIA/CISA preferred

Education

Bachelor's degree

Job description

The Charles Schwab Corporation’s Internal Audit Department seeks a Senior Auditor (Senior Specialist) for the Broker-Dealer/Asset Management enterprise team. The role covers audit execution, risk assessment, and issue validation across client-facing activities, asset management, and back-office functions.

Reporting to a Director or Senior Manager, you will mentor teammates, manage audit status and budgets, and contribute to governance improvements within a complex regulatory environment.