Internal Audit Manager, Broker Dealer/Asset Management - Omaha

Job summary

The Internal Audit Department of The Charles Schwab Corporation provides independent and objective assessments to evaluate 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.

Responsibilities

• Direct and supervise the design and execution of internal audits, ensuring work is performed in accordance with IIA standards and IAD policies and procedures.
• Participate in an audit team may include internal or co-sourced internal audit professionals.
• Lead meetings with partners
• Ensure coordination with integrated and data analytic audit teams
• Prepare and/or reviewing work papers to ensure clear identification of risks and issues, validating appropriateness of fieldwork testing, and sign-off on audit deliverables.
• Handle and advance changes in audit timelines, budget, resourcing, and achievements.
• Assess the quality of management's Risk & Control Self-Assessments; and support the assessment of the operational risk management program that handles the RCSA program.

Qualifications

• 5-7+ years of financial services-related audit experience with growing responsibility.
• Broker Dealer/Asset Management experience and/or Big 4 Accounting experience a plus.
• Demonstrated experience leading internal audits and their associated team members, amongst a complex operational and regulatory environment.
• CPA, CIA, CFE, or CISA strongly preferred. Other applicable financial services and/or risk management certifications considered.

Job description