Senior QA Audit Manager: Broker-Dealer Controls

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

Benefits offered by this job

401(k) match

Vacation and sabbatical

Paid parental leave

Tuition reimbursement

Health, dental, and vision insurance

Employee stock purchase plan

Job summary

Charles Schwab is seeking a Senior Manager, Quality Assurance within the Internal Audit Department to lead QA reviews of broker-dealer audits, focusing on risk, control effectiveness, and regulatory compliance. The role emphasizes independent challenge, strong audit methodology, and collaboration with cross-functional teams.

The successful candidate will have extensive broker-dealer audit experience, deep knowledge of risk and IT-dependent controls, and the ability to translate findings into

Qualifications

• Minimum seven years in internal audit, risk, or regulatory roles.
• Broker-dealer audit experience in complex environments.
• Strong knowledge of broker-dealer activities, risks, and regulatory expectations.
• Experience assessing IT-dependent controls and automated processing.
• Ability to apply independent judgment and professional skepticism.

Responsibilities

• Lead QA reviews across broker-dealer audits to assess conformance with internal policies, procedures, regulatory expectations, and standards.
• Evaluate quality of audit planning, risk assessment, scoping, control identification, testing, issue identification, reporting, and issue validation.
• Assess whether audit teams cover the full population of relevant risks and controls, including automated and data-driven controls.
• Provide candid, constructive feedback and effective challenge to strengthen risk perspectives and audit methodology.
• Monitor remediation of QA findings and support QAIP evolution and training.

Skills

Broker-dealer audit

Risk assessment

Regulatory compliance

Audit leadership

IT controls evaluation

Data analytics

Issue identification

Education

Bachelor's degree in finance/accounting or related field

CIA/CPA preferred

Job description

Charles Schwab is seeking a Senior Manager, Quality Assurance within the Internal Audit Department to lead QA reviews of broker-dealer audits, focusing on risk, control effectiveness, and regulatory compliance. The role emphasizes independent challenge, strong audit methodology, and collaboration with cross-functional teams.

The successful candidate will have extensive broker-dealer audit experience, deep knowledge of risk and IT-dependent controls, and the ability to translate findings into