Bank Compliance Staff Auditor

Your opportunity

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to determine 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.

We have a full-time position available for an entry level audit execution specialist within our Bank Audit team.  The Bank Internal Audit team is focused on the execution of Bank specific and multiple enterprise audits that target internal controls and regulatory compliance. Charles Schwab has three chartered banks that service clients, with regulatory compliance audits including but not limited to Home Mortgage Disclosure Act (HMDA), Regulation E, Fair Lending requirements, Regulation V, Regulation W, etc.

What you will do:

• Assist in the planning and execution of audits within various business divisions / functions.
• Perform specifically assigned audit tasks in accordance with directions provided by the audit lead.
• Participate in internal team meetings, as well as meetings with the business.
• Independently perform control testing, analysis, and results documentation.
• Analyze audit results to report findings and recommendations to management.
• Provide status updates on tasks and availability / capacity for additional tasks.
• Other duties as assigned.

What you have

• Bachelor’s degree preferred. 
• At minimum three (3) years of job experience, preferably within a compliance, operational, risk management, or internal audit role(s).
• Strong interpersonal and communication skills.
• Strong writing abilities and written communication skills.
• Self-starter with strong organizational skills.
• Ability to track multiple concurrent projects (2-3).
• The ability to analyze and prioritize workload to meet multiple deadlines.
• Demonstrates a willingness to learn and grow.
• Initiative to research, understand and analyze a variety of situations or processes.
• Ability to work as a member of a team and cultivate a strong working relationship with internal lines of businesses.