Senior Manager, Internal Audit Quality Assurance

Charles Schwab Corporation; Westlake (TX); On-site; USD 140,000 - 190,000; Full time

Job summary

Charles Schwab Corporation's Internal Audit Department seeks a Senior Manager, Quality Assurance to lead QA reviews of broker-dealer audits, risk assessments, and testing, ensuring conformance with policies, regulatory expectations, and professional standards.

You will champion improvements, mentor audit teams, and leverage analytics to enhance audit quality while aligning with FRB guidance and IIA Standards.

Qualifications

• Seven years of internal audit, risk, compliance, or regulatory experience within financial services, public accounting, or a regulatory agency, including at least three years in a management or leadership role.
• Broker-dealer audit experience in a complex operational and regulatory environment.
• Strong working knowledge of broker-dealer activities, risks, controls, and regulatory expectations.
• Experience assessing risks and controls throughout the audit lifecycle, including risk assessment, planning, scoping, testing, issue identification, and reporting.

Responsibilities

• Lead independent QA reviews across internal audit activities, with emphasis on broker-dealer processes, to assess conformance with policies, regulatory expectations, and standards.
• Evaluate audit planning, risk assessment, scoping, control identification, testing, issue identification, and validation.
• Assess population coverage including manual, automated, and data-driven controls.
• Ensure IT-dependent controls and system-generated data are appropriately evaluated.
• Apply independent judgment to assess control design, implementation, and operating effectiveness.
• Provide feedback to strengthen risk perspectives, control evaluations, testing approaches, and adherence to methodology.
• Monitor remediation of QA findings and ensure actions address root causes.
• Support QAIP evolution, including methodology updates and external quality assessments.

Skills

Internal audit

Broker-dealer audit

Risk assessment

Regulatory expectations

Team leadership

Data analytics

IT controls

Auditing standards

Communication

Project management

Education

Bachelor’s degree

CIA/CPA preferred

Job description

Charles Schwab Corporation's Internal Audit Department seeks a Senior Manager, Quality Assurance to lead QA reviews of broker-dealer audits, risk assessments, and testing, ensuring conformance with policies, regulatory expectations, and professional standards.

You will champion improvements, mentor audit teams, and leverage analytics to enhance audit quality while aligning with FRB guidance and IIA Standards.