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Senior IT Auditor, Broker Dealer / Asset Management
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$58,200 - $119,000 a year
Full-time
- Your Opportunity 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 enterprise team is seeking an Internal Audit Technology Senior Specialist primarily responsible for executing application reviews in business integrated audits.
- The Broker-Dealer/Asset Management team provides internal audit coverage of the business and application process activities and compliance functions for Schwab’s registered domestic and international broker-dealers and registered retail and institutional investment advisors.
- Reporting to a Director or Senior Manager of the Broker-Dealer/Asset Management team, the Internal Audit Technology Senior Specialist 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 specifically around applications supporting the Broker-Dealer/Asset Management enterprise.
- Ensure work is performed in accordance with IIA standards and IAD policies and procedures.
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