Overview

Internal Audit (IAD) provides independent and objective assessments of the effectiveness of risk management activities, the internal control environment, and compliance with applicable regulations. Reporting to the Corporate & Risk Management Audit Director, the Corporate and Risk Management Audit Manager has responsibility for the independent and objective assurance activity designed to improve corporate operations and compliance with key regulations by evaluating and improving the effectiveness of risk management, control, and governance processes. This position is also responsible for liaising with first and second lines of defense, external co-sourcing provider, and regulators.

What you’ll do:

  • Support a co-sourced team of internal audit professionals ensuring audit work is performed in accordance with IIA standards and is consistent with the department’s Charter and Policies and Procedures.
  • Prepare and/or 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.
  • Address issues during the integrated 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.
  • Monitor management’s completion of action plans resulting from Audit Findings and regulatory findings to ensure action plans implemented were appropriate and timely.
  • Provide a thoughtful, risk-based perspective and help oversee all parts of the internal audit program including, but not limited to, risk assessment, audit plan development, audit plan execution, continuous monitoring, and project reviews.
  • In coordination with the IT audit team, promote the increased use of data analytics techniques to evaluate large data sets for trends and anomalies.
  • Participate in maintaining business relationships with appropriate levels of management ensuring Internal Audit is aware of key changes to business activities and objectives for appropriate response.
  • Continuously 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.
  • Identify themes, trends, and emerging risks for escalation and communication to executives, audit, and risk committees.

What you have:

  • 5+ years of financial services-related audit experience with increasing responsibility. Financial services, first or second line of defense, Big 4 Accounting, or regulatory experience a plus.
  • Demonstrated knowledge and experience managing and/or performing internal audits of one or more of the following financial risk management functions: market, liquidity, capital, and model.
  • Knowledge of regulatory guidance and expectations of internal audit coverage related to SR 95-51, SR 12-7, SR 10-6, SR 15-18 and/or SR 11-7.
  • Ability to lead a project team and cultivate a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses.
  • CPA, CIA, or other applicable financial services and/or risk management certifications a plus.
  • Stays current on industry and regulatory issues and best practices for assigned areas; imparts 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.
  • 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.

 What you’ll 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

To apply for this job please visit schwabjobs.com.


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