Senior IT Auditor- Broker Dealer/Asset Management
About The Position
The Internal Audit Department of The Charles Schwab Corporation provides independent, objective assessments of whether significant risks are identified and reported, risks are adequately controlled, and governance, risk management, and internal control processes operate efficiently. The Broker Dealer Asset Management Audit Team is hiring a Senior IT Auditor, internally titled Senior Specialist, Internal Audit - Technology, to conduct audit activities focused on key application risks and controls across Broker Dealer Asset Management. Application audits assess automated functionality and data integrity supporting business processes, including segregation of duties, configuration management, system interfaces, and data processing. Reporting to a Director or Senior Manager of the BDAM Application Controls team, this role provides independent, objective assurance intended to improve operations and compliance with key regulations. The Senior IT Auditor evaluates risk management, control, and governance processes, with a focus on application technology risks within coordinated audits and close collaboration with operational auditors. The role also works with audit resources provided by an external co-sourcing provider.
Requirements
- 3–5+ years of information technology audit experience.
- Demonstrated experience performing internal audits and working with associated team members in 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 foster strong working relationships with external co-sourcing providers and internal lines of business.
- Understanding of risks and internal controls, with the ability to evaluate and determine control adequacy and effectiveness.
- Knowledge of current industry and regulatory issues and standard methodologies, and ability to share that knowledge with the team and auditees.
- Excellent analytical skills, including the ability to anticipate issues and design appropriate solutions.
- Strong verbal and written communication skills, with the ability to communicate effectively and professionally.
- Ability to use relationships and insights to influence others and build trusted relationships that create alignment and support.
Nice To Haves
- Financial services and/or Big 4 Accounting experience.
- CPA, CIA, or CISA certification; other relevant certifications will be considered.
- Bachelor’s degree strongly preferred.
Responsibilities
- Participate in planning and executing technology-focused internal audit assignments in accordance with IIA standards and IAD policies and procedures.
- Schedule and participate in audit meetings and prioritization discussions; draft audit work; design and execute testing; and complete and review work papers.
- Assist in tracking team operations, including audit status, issue status, and budgets.
- Identify and draft audit observations based on testing results for review by Internal Audit management and subsequent debriefing with key partners.
- Conduct validation testing of business action plans for audit issues.
- Participate, under IAD management supervision, in the annual Risk Assessment process, including partner meetings and scoring and documenting risk ratings.
- Support, mentor, and provide feedback to audit team members throughout audits, and assist with onboarding and ongoing support for 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 as needed.
- Work closely with operational auditors and coordinate with external co-sourcing providers and internal lines of business.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Senior
