Charles Schwab Director, Internal Audit Corporate & Risk Management in Lone Tree, Colorado


Lone Tree - CO, BRCOQ4, 9899 Schwab Way, 80124-5377

Jessie M. Golden


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 at 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 provides independent and objective assessments of the effectiveness ofvrisk management activities and the internal control environment. Reporting to the Managing Director, Risk Management and Corporate, the Director has responsibility for the independent and objective assurance activity designed to improve the firm’s operations by evaluating and improving the effectiveness of risk management, control, and governance processes.

What you’ll do:

Responsibilities include:

  • Liaising with the first and second lines of defense, the external co-sourcing provider, and the regulators.

  • Participate in regulatory exams and continuous monitoring meetings with regulators.

  • Lead IAD involvement in any regulatory findings issued to first and second lines of defense (including oversight of management response review, retrospective reviews, continuous monitoring, and management action plan validation activities).

  • Supervise day-to-day audit execution activities to ensure standards of quality, effectiveness, and efficiency are met, and ensure accountability for audit results.

  • Guide teams to accurately scope and execute integrated audits focused on the most meaningful and relevant risks.

  • Continuously monitor for changes in the business that may affect the risk environment and, therefore, require possible changes to the risk assessment, audit plan or to the scope of planned audits though business monitoring meetings.

  • Ensure the execution of the audit plan reflects the annual Audit Response Programs and provides sufficient basis for providing an annual opinion for each critical risk process/function.

  • Lead year-end risk opinion process and reporting, including discussion with management.

  • Assist with the preparation of Audit Committee materials for quarterly Audit Committee meetings.

  • Manage a co-sourced team of internal audit professionals ensuring work is performed in accordance with IIA standards and is consistent with the department’s Charter, Policies and Procedures.

  • 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.

  • Direct and manage the design and successful execution of 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.

  • Maintain business relationships with appropriate levels of management ensuring Internal Audit is aware of key changes to business activities and objectives for appropriate response.

  • Participate in periodi

What you have:

  • 10+ years of internal audit experience with increasing responsibility. Financial services and/or Big 4 Accounting experience a plus.

  • Demonstrated experience managing and being accountable for internal audits over risk management functions within a complex operational and regulatory environment.

  • Comprehensive knowledge and experience managing and/or performing internal audits of one or more of the following risk management functions is critical: operational, model, vendor, and/or enterprise.

  • Advanced knowledge of regulatory guidance and expectations of internal audit coverage related to SR 13-1, SR 08-08, SR 12-17, SR 11-7, and/or SR 13-19.

  • CPA, CIA or other applicable certification preferred or commitment to obtain such certification within 12 months of joining.

  • Ability to lead a project team and cultivate a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses.

  • 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

  • Experience with navigating conflict resolution including serving as an escalation path for any unresolved audit issues.

  • Leverages relationships and insights to successfully influence others. Builds authentic and trusted relationships to create alignment and support.

  • 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 and upward 2+ levels.

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

Learn more about Life@Schwab at" .

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.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

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

Relevant Work Experience: Internal Audit, Accounting and Finance-6+ yrs, Risk Analysis

Position Located In: TX - Austin, CO - Lone Tree, CA - San Francisco, TX - Westlake

Education: BA/BS

Job Type: Full Time

Category:Internal Audit

Activation Date: Thursday, May 31, 2018

Expiration Date: Wednesday, August 1, 2018

Apply Here