Manager, Internal Audit Application and System Controls

Charles Schwab Inc. • Westlake, TX

8d • $115,000 - $140,000

About The Position

The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to determine whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a IT Audit Manager primarily responsible for audit activities covering BDAM focused on key application risks and controls. Application audits focus on automated functionality and data integrity that support business processes such as segregation of duties, configuration management, system interfaces, and data processing. Reporting to a Director of the BDAM Application Controls team, the IT Audit Manager will have responsibility for the independent and objective assurance activity designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes. This position will focus on application technology risks within the coordinated audits, working closely with the operational auditors. This position is also responsible for working with audit resources provided by an external co-sourcing provider.

Requirements

• 5-7+ years of IT audit experience with increasing responsibility.
• Proven experience leading IT internal audits and their associated team members, amongst a complex operational and regulatory environment.
• Ability to lead a project team and nurture a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses.
• Clear understanding of risks and internal controls and the ability to evaluate and resolve adequacy and effectiveness of controls.
• Stays current on industry and regulatory issues and standard methodologies; imparts this knowledge to the team and the auditees.
• Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions.
• Strong verbal and written communication skills with a demonstrated ability to articulate effectively and professionally.
• Demonstrates relationships and insights to successfully influence others. Builds authentic and trusted relationships to create alignment and support.
• Bachelor’s degree required.

Nice To Haves

• Financial services and/or Big 4 Accounting experience a plus.
• CPA, CIA, CFE, or CISA strongly preferred. Other relevant certifications will be considered.

Responsibilities

• Provide independent and objective assessments to determine whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management.
• Evaluate whether risks are adequately controlled.
• Challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls.
• Conduct audit activities covering BDAM focused on key application risks and controls.
• Focus on automated functionality and data integrity that support business processes such as segregation of duties, configuration management, system interfaces, and data processing.
• Provide independent and objective assurance activity designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes.
• Focus on application technology risks within coordinated audits, working closely with operational auditors.
• Work with audit resources provided by an external co-sourcing provider.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager