Senior Auditor, Broker Dealer/Asset Management
On-siteAustin, Texas, United States or Westlake, Texas, United States
Austin, Texas, United States or Westlake, Texas, United StatesOn-siteFull TimeSenior LevelEnterprise
Full TimeSenior LevelEnterprise
Job Summary
Execute internal audit assignments for Schwab's broker-dealer and asset management teams, including planning, testing, drafting deliverables, and managing work papers in accordance with IIA standards. Identify and draft audit observations based on testing results, then conduct validation testing of business action plans. Participate in annual risk assessments by scheduling partner meetings and documenting risk ratings. Provide mentoring and feedback to team members while assisting with onboarding and completing departmental training requirements.
Required Qualifications
- 3 - 5+ years of financial services-related audit experience with growing responsibility
- Demonstrated experience performing internal audits amongst a complex operational and regulatory environment
- Bachelor's degree required
Desired Qualifications
- Broker Dealer/Asset Management experience specific to internal audit and/or similar Big 4 accounting or regulatory experience a plus
- CPA, CIA, CISA strongly preferred
- Other relevant certifications will be considered
- Understanding of risks and internal controls and the ability to evaluate and figure out adequacy and efficiency of controls
- Stays current on industry and regulatory issues and standard methodologies for AML; 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 shown ability to articulate effectively and authoritatively
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.