Job Description

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 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.

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.

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 of related 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.