Senior Internal Audit Manager, Quality Assurance

Charles Schwab; Omaha (NE); On-site; USD 120,000 - 170,000; Full time

Benefits offered by this job

401(k) with company match

Paid time off and sabbatical after 5+

Tuition reimbursement

Job summary

Charles Schwab’s Internal Audit Department seeks an experienced Senior Manager, Quality Assurance to lead QA reviews of broker-dealer audits, assess control design and testing, and drive improvements in audit quality and methodology.

The role requires deep broker-dealer expertise, strong analytical skills, and the ability to challenge audit teams while aligning with IIA standards and regulatory guidance.

Qualifications

• 7+ years in internal audit, risk, compliance, or regulatory roles in financial services
• Broker-dealer audit experience in complex environments
• Strong knowledge of broker-dealer activities, risks, and regulatory expectations
• Experience leading audits addressing business process and technology risks

Responsibilities

• Lead independent QA reviews of internal audit activities focused on broker-dealer processes, operations, and regulatory compliance
• Evaluate QA workpapers, findings, and remediation to ensure conformance with standards
• Assess audit planning, risk assessment, scoping, control identification, testing, and issue validation
• Evaluate IT-dependent and automated controls, including system-generated data considerations
• Provide feedback and challenge to audit teams and leadership to strengthen risk perspectives and methodology
• Monitor remediation of QA findings and effectiveness of corrective actions
• Support QAIP evolution, methodology updates, and training with data analytics and AI initiatives

Skills

Broker-dealer audit

Leadership

Risk assessment

Regulatory knowledge

Analytical thinking

Education

Bachelor's degree in related field

CIA/CPA preferred

Tools

Excel

Data analytics tools (ACL/IDEA)

Job description

Charles Schwab’s Internal Audit Department seeks an experienced Senior Manager, Quality Assurance to lead QA reviews of broker-dealer audits, assess control design and testing, and drive improvements in audit quality and methodology.

The role requires deep broker-dealer expertise, strong analytical skills, and the ability to challenge audit teams while aligning with IIA standards and regulatory guidance.