Staff Auditor, Broker Dealer/Asset Management

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.

We have full time positions available for entry level audit execution positions, Staff Auditors, within our Broker-Dealer team.

The Broker-Dealer/Asset Management team provides internal audit coverage of the business process activities and compliance functions for Schwab’s registered domestic and international broker-dealers and registered retail and institutional investment advisors. The team’s scope includes audit execution and oversight for Schwab’s: (i) client-facing activities supporting retail investors and independent investment advisors on Schwab’s platform and their clients; (ii) client product solutions and market expertise; (iii) portfolio advisory services and research; (iv) asset management functions; (v) corporate client services, including stock plan services, retirement plan services, and compliance and employee trade monitoring solutions; and (vi) middle and back office operational functions

What you will do:

• You will assist in planning and executing audits within various business divisions.
• You will participate in internal team meetings, as well as meetings with the business.
• You will perform internal audit controls testing and issue follow-up testing.
• You will assist with Internal Audit operational tasks such as management of audit status, issue status, audit file preparation and implementation.
• You will be responsible for handling your own tasks and letting teams know of your availability for work.

What you have

• A degree in Accountancy, Finance or Internal Audit.
• 2 years or less of job experience.
• Strong interpersonal skills (written and verbal).
• Self-starter with strong organizational skills.
• Ability to track multiple projects (2-3) going on at the same time, demonstrating an ability to analyze and prioritize to meet multiple deadlines.
• Ability to work as a member of a project team and cultivate a strong working relationship with external co-sourcing providers and internal lines of businesses.
• Demonstrates willingness to learn and grow.
• Initiative to research, understand and analyze a variety of situations or processes.