Senior IT Auditor, Broker Dealer / Asset Management - Application Controls
Company: Charles Schwab
Posted on: February 16, 2020
Your OpportunityThe 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 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 Managing Director of the BDAM Application
Controls team, the Senior IT Auditor will have responsibility for
the independent and objective assurance activity designed to
improve the organizations 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.What youre good at
- Audit Execution: 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. Responsibilities will include: scheduling and
participation in audit meetings; participation in prioritization
discussions; drafting of audit work; design and execution of
testing; and completion and review of work papers. Additionally,
assist in the tracking of team operations including audit status,
issue status, and budgets.
- Issues Identification: Based on the results of audit testing,
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
- Issue Management and Validation: Conduct validation testing of
the audit issue action plans completed by the business.
- Risk Assessment: Under the supervision of IAD Management,
participate in the annual Risk Assessment process, including
scheduling and participation in meetings with partners, and the
scoring and documentation of risk ratings.
- Coaching: Provide support, mentoring, and feedback to audit
team members throughout the audit. Provide assistance with
onboarding and ongoing support to new team members.
- Administration/Training: Completion of firm-wide and
departmental administration and training requirements.
- Other Initiatives/Special Projects: As needed, assist with
special projects related to business process improvement or
internal team needs.What you have
- 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
- Knowledge and experience in control theory and professional
- 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
- 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
- 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
- Uses relationships and insights to successfully influence
others. Builds authentic and trusted relationships to create
alignment and support.
- Bachelors degree strongly preferred.
- Ability to travel 15-20%Apply for this jobRefer a friendWhy
Schwab?At Schwab, Own Your Tomorrow embodies everything we do! We
are committed to helping our employees unleash their potential and
achieve their dreams. Our employees get to play a central role in
disrupting a multi-trillion-dollar industry, creating a better,
more modern way to build and manage wealth. Were a modern financial
services firm that stands apart from the industry, where you can go
as far as your ambition takes you.Hear from employees:: a package
designed to empower your health, wealth, career and life.Schwab is
committed to building a diverse and inclusive workplace where
everyone feels valued.As an equal employment opportunity employer,
our policy is to provide equal employment opportunities to all
employees and applicants without regard to any status that is
protected by law.Schwab is also an affirmative action employer,
focused on advancing women, minorities, veterans, and individuals
with disabilities in the workplace.We believe diversity and
inclusion are part of our success as a company and our purpose of
serving every client with passion and integrity.Job Locations
US-TX-Westlake - US-TX-Austin - US-AZ-PhoenixRequisition ID
2019-45913Posted Date 2 months ago (12/27/2019 4:24 PM)Category
Risk & RegulatoryPosition Type Full time
Keywords: Charles Schwab, Austin , Senior IT Auditor, Broker Dealer / Asset Management - Application Controls, Accounting, Auditing , Austin, Texas
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