Senior IT Auditor, Broker Dealer/Asset Management

Charles Schwab • Westlake, TX

82d

About The Position

The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to figure out 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 Senior IT Auditor (Senior Specialist, Internal Audit - Technology is our internal title) 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 or Senior Manager of the BDAM Application Controls team, the Senior IT Auditor 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

• 3 - 5+ years of information technology audit experience.
• Financial services and/or Big 4 Accounting experience a plus.
• Demonstrated experience performing internal audits and their associated team members, among a complex operational and regulatory environment.
• Knowledge and experience in control theory and professional auditing practices.
• Ability to work as a member of a project team and champion a strong working relationship with external co-sourcing providers and internal lines of businesses.
• CPA, CIA, or CISA preferred.
• Other relevant certifications will be considered.
• Understanding of risks and internal controls and the ability to evaluate and determine adequacy and effectiveness of controls.
• Knows the latest 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.
• Uses relationships and insights to successfully influence others.
• Builds authentic and trusted relationships to create alignment and support.
• Bachelor's degree strongly preferred.

Responsibilities

• Participate in the planning and execution of internal audit assignments specific to technology.
• Ensure work is performed in accordance with IIA standards and IAD policies and procedures.
• Schedule and participate in audit meetings.
• Participate in prioritization discussions.
• Draft audit work.
• Design and execute testing.
• Complete and review work papers.
• Assist in tracking team operations including audit status, issue status, and budgets.
• Identify and draft audit observations for review by the Internal Audit Manager/Senior Manager and subsequent debriefing with key partners.
• Conduct validation testing of the audit issue action plans completed by the business.
• Participate in the annual Risk Assessment process, including scheduling and participation in meetings with partners.
• Provide support, mentoring, and feedback to audit team members throughout the audit.
• Assist with onboarding and ongoing support to new team members.
• Complete firm-wide and departmental administration and training requirements.
• Assist with special projects related to business process improvement or internal team needs.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree