Staff Auditor, Broker Dealer/Asset Management
Your Opportunity
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.
What’s in it for you
At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
What you are good at
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.
Why Schwab?
At Schwab, “Own Your Tomorrow” embodies everything we do! We are committed to helping our employees unleash their potential and achieve their dreams. Our employees get to play a central role in disrupting a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. We’re a modern financial services firm that stands apart from the industry, where you can go as far as your ambition takes you.
Hear from employees: What’s it like to work at Schwab!
The benefits of working at Schwab : a package designed to empower your health, wealth, career and life. Schwab is committed to building a diverse and inclusive workplace where everyone feels valued.
As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. (Please click here to see policy.)
Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace. We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.