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Job Details

Internal Audit Senior Manager Asset Management - Military veterans preferred

Company name
Charles Schwab & Co., Inc

San Francisco, CA

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\t\t Description: San Francisco - CA, SF211MN, 211 Main St, 94105-1905Jessie M. Golden20180103-50We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client\u2019s 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 \u2018own your tomorrow\u2019 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.Our Opportunity:Internal Audit (IAD) provides independent and objective assessments of the effectiveness of risk management activities and the internal control environment.\u00a0 Reporting to the Asset Management Audit Managing Director, the Senior Manager will have responsibility for the independent and objective assurance activity designed to improve the organization\u2019s operations and compliance with key regulations by evaluating and improving the effectiveness of risk management, control, and governance processes.\u00a0 This position is also responsible for working with auditing resources provided by an external co-sourcing provider.What you\u2019ll do:
Manage a co-sourced team of internal audit professionals, ensuring work is performed in accordance with Institute of Internal Audit (IIA) standards and is consistent with the IAD Charter and Policies and Procedures.
Direct and supervise the design and successful execution of audits included in the internal audit plan and provide strategic and proactive consultation in identifying risk exposures and in evaluating solutions for internal control weaknesses and regulatory compliance issues.
Review key internal audit work papers, including planning documents and audit reports, to ensure clear identification and communication of risks and issues prior to presentation to senior management.
Provide a thoughtful, risk-based perspective, especially as it relates to the asset management enterprise, and assist the Managing Director in the internal audit program including, but not\u00a0limited to, risk assessment, audit plan development, audit plan execution, continuous monitoring, and project reviews.
In coordination with the Schwab Technology Services (STS) audit team, perform integrated audit and promote the increased use of data analytics techniques to evaluate large data sets for trends and anomalies.
Address issues during the internal audit process by gathering facts, developing potential solutions, determining the best solutions, and implementing an action plan to solve the problem.
Evaluate the adequacy and timeliness of management's response and the corrective action taken on all significant weaknesses noted in the report.
Participate and/or lead special audits as requested by Executive Management or the Audit Committee according to the Internal Audit Charter and Policies.
Maintain business relationships with appropriate levels of management, first and second lines of defense, ensuring Internal Audit is aware of key changes to business activities and objectives for appropriate response.
Monitor for changes in the business that may affect the risk environment and, therefore, require possible changes to the audit plan or to the scope of planned audits.
Assess the quality of management\u2019s risk & control self-assessments; and support the assessment of the operational risk management program that manages the risk and controls self-assessment program.

\u00a0What you have:
5-8 \u00a0years of financial services-related audit experience with increasing responsibility.\u00a0 Asset Management specific internal audit and/or similar Big 4 Accounting or regulatory experience a plus.
Demonstrated experience managing internal audits within a complex operational and regulatory environment.
Ability to cultivate a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses.
Thrives on initiating, building and cultivating strong relationships inside and outside, advancing the goals and the future of the company; highly collaborative; comfortable with debate and willing to challenge the status quo; navigates and activates alignment across organizational silos.
CPA, CIA, CFSA, or other applicable financial services and/or risk management certifications preferred.
Stays current on industry and regulatory issues and best practices for assigned areas; shares 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 demonstrated ability to articulate effectively and professionally.

What you\u2019ll get:
Comprehensive Compensation and Benefits package
Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
Not just a job, but a career, with an opportunity to do the best work of your life

\u00a0Learn more about Life@Schwab.Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab's hiring decisions. All other submissions should be performed online. \t\t Job Specifications

Relocation Offered?:

Work Schedule:

English - spoken

Current Licenses / Certifications:
Certified Internal Auditor - CIA, Certified Public Accountant - CPA

Relevant Work Experience:
Financial Services-6 yrs, Accounting and Finance-2-5 yrs, Internal Audit, Accounting and Finance-6 yrs, Financial Services-2-5 yrs

Position Located In:
CA - San Francisco


Job Type:
Full Time

\t\t\t\t\t\t Category:Internal Audit \t\t Activation Date: Monday, March 12, 2018 \t\t Expiration Date: Wednesday, May 16, 2018 \t\t Apply Here \t
See Job Description

Company info

Charles Schwab & Co., Inc
Website :

Company Profile
The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC, offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products. Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Schwab. Independent investment advisors are not owned, affiliated with, or supervised by Schwab. Schwab Retirement Plan Services, Inc. and Schwab Retirement Plan Services Company provide recordkeeping and related services with respect to retirement plans. Charles Schwab received the highest numerical score in the J.D. Power 2016 Full Service Investor Satisfaction Study, based on 6,006 responses from 20 firms measuring opinions of investors who used full-service investment institutions and we are surveyed in January 2016. To arrive at the top 50 Most Admired Companies overall (our “All-Stars”), Korn Ferry Hay Group asked 4,000 executives, directors, and securities analysts who had responded to the industry surveys to select the 10 companies they admired most. They chose from a list made up of the companies that ranked in the top 25% in last year’s surveys, plus those that finished in the top 20% of their industry. Anyone could vote for any company in any industry. The difference in the voting rolls is why some results can seem anomalous. For example, St. Jude Medical ranks No. 40 on the overall Most Admired list, returning after a two-year hiatus. But within the medical products and equipment subgroup, St. Jude Medical, based on its peers’ responses, missed the “Industry Standouts” cut by ranking in the bottom half of the group. (0416-EXLH) Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law.

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