Internal Audit Senior Manager, Quality Assurance

Your Opportunity

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 byChuckover 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:

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 effectiveness of governance processes, risk management, and internal controls.

The Professional Practices Group (PPG) within IAD provides the processes, training, and tools to support the audit teams’ adherence to standards and expectations of quality and consistency. PPG also provides the data and analysis of internal audit activities and results to the leadership team, regulators, and to the Company’s governance committees to support their performance of effective oversight. The Quality Assurance (QA) team within PPG is seeking an IT Senior Manager, Quality Assurance to assist with independently evaluating that key internal audit activities continue to be performed with the level of quality and effectiveness as per departmental standards.

The IT Senior Manager, Quality Assurance is an individual contributor role that reports to the Director, Quality Assurance. The QA team is a critical function within IAD that supports a growing department that continues to evolve to meet regulatory expectations of a large financial institution.

What you’ll do:

• Lead independent quality assurance reviews of various internal audit activities including IT focused audits (e.g., infrastructure, application, cybersecurity, and project audits), issue validation testing, and targeted reviews selected as part of the annual quality assurance and improvement program (QAIP) for conformance with internal policies and procedures, regulatory expectations, and professional standards.
• Review audit workpapers, providing feedback to internal audit teams and reinforcing audit execution practices based on review results.
• Prepare reports related to QAIP activities and results, including identifying thematic issues, and writing QA findings and recommendations. 
• Use knowledge of IT frameworks and standards to identify opportunities to improve internal audit practices and methodology to enhance the efficiency and effectiveness of the IAD.
• Provide support, guidance, and feedback to team members and  help enhance proficiency in various IT-related topics, including methods for assessing these areas.
• Oversee the monitoring and validation of audit team remediation of QA findings.
• Provide subject matter expertise to audit teams on internal audit methodology and drive continuous improvement of internal audit processes.
• Support the maintenance and periodic refresh of the QA procedures manual, QA review templates, and reports. 
• Assist with documentation requests in connection with external quality assurance reviews and regulatory exams related to QA and IAD activities.
• Periodically support the development and delivery of IAD methodology updates and training of internal audit team members.
• Support strategic initiatives to expand the QAIP scope, coverage, and plan and contribute to ad hoc projects.

What you have

• At least seven years’ experience in IT internal audit, technology risk management, or similar role, preferably in a public accounting, financial services, and/or a regulatory agency, including at least 3 years in a management or leadership role.
• Demonstrated experience leading and supervising IT audits (e.g. infrastructure, applications, cybersecurity).
• Strong knowledge of IT governance frameworks (e.g., COBIT, NIST, ISO 27001) and regulatory requirements (e.g., GLBA, GDPR, 23 NYCRR 500).
• Working knowledge of the Institute of Internal Auditors (IIA) Global Audit Standards, and the Federal Reserve Supplemental Policy Statement on the Internal Audit Function and Its Outsourcing (SR 13-1).
• Strong understanding of risks and internal controls and the ability to evaluate and figure out adequacy and effectiveness of controls.
• Effective project management skills with the ability to successfully manage multiple priorities and due dates.
• Outstanding written and verbal communication skills, including ability to demonstrate strong interpersonal skills by delivering review results with succinct and impactful messaging to influence positive change and collaborate effectively across all levels.
• Degree or equivalent experience required; CIA, CISA, CPA, CISSP or similar certification preferred.
• Strong attention to detail, analytical, and problem-solving skills and experience with data analysis tools.

What you are good at

What you have

• At least seven years’ experience in IT internal audit, technology risk management, or similar role, preferably in a public accounting, financial services, and/or a regulatory agency, including at least 3 years in a management or leadership role.
• Demonstrated experience leading and supervising IT audits (e.g. infrastructure, applications, cybersecurity).
• Strong knowledge of IT governance frameworks (e.g., COBIT, NIST, ISO 27001) and regulatory requirements (e.g., GLBA, GDPR, 23 NYCRR 500).
• Working knowledge of the Institute of Internal Auditors (IIA) Global Audit Standards, and the Federal Reserve Supplemental Policy Statement on the Internal Audit Function and Its Outsourcing (SR 13-1).
• Strong understanding of risks and internal controls and the ability to evaluate and figure out adequacy and effectiveness of controls.
• Effective project management skills with the ability to successfully manage multiple priorities and due dates.
• Outstanding written and verbal communication skills, including ability to demonstrate strong interpersonal skills by delivering review results with succinct and impactful messaging to influence positive change and collaborate effectively across all levels.
• Degree or equivalent experience required; CIA, CISA, CPA, CISSP or similar certification preferred.
• Strong attention to detail, analytical, and problem-solving skills and experience with data analysis tools.