Senior IT Auditor- Broker Dealer/Asset Management
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.
- 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.
- 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.
Nice To Haves
- Financial services and/or Big 4 Accounting experience a plus.
- CPA, CIA, or CISA preferred. Other relevant certifications will be considered.
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.
- Scheduling and participation in audit meetings.
- Participation in prioritization discussions.
- Drafting of audit work.
- Design and execution of testing.
- Completion and review of work papers.
- Assist in the tracking of team operations including audit status, issue status, and budgets.
- Identify and draft audit observations for review by the Internal Audit Manager/Senior Manager (and above levels) and subsequent debriefing with the key partners (typically VP-level and below).
- 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, and the scoring and documentation of risk ratings.
- Provide support, mentoring, and feedback to audit team members throughout the audit.
- Provide assistance with onboarding and ongoing support to new team members.
- Completion of firm-wide and departmental administration and training requirements.
- Assist with special projects related to business process improvement or internal team needs.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
