Charles Schwab · 1 day ago
Senior IT Auditor, Broker Dealer/Asset Management
Richfield, OH
Full-time
Hybrid
Mid, Senior Level
3+ years expCharles Schwab is a financial services company that provides independent and objective assessments through its Internal Audit Department. The Senior IT Auditor will be responsible for audit activities that focus on application technology risks and controls, ensuring compliance and improving the efficiency of governance processes.
Financial Services
Responsibilities
Participate in the planning and execution of internal audit assignments specific to technology
Ensure work is performed in accordance with IIA standards and IAD policies and procedures
Responsibilities will include: scheduling and participation in audit meetings; participation in prioritization discussions; drafting of audit work; design and execution of testing; and completion and review of work papers
Assist in the tracking of team operations including audit status, issue status, and budgets
Based on the results of audit testing, identify and draft audit observations for review by the Internal Audit Manager/Senior Manager (and above levels) and subsequent debriefing with the key partners (typically VP-level and below)
Conduct validation testing of the audit issue action plans completed by the business
Participate in the annual Risk Assessment process, including scheduling and participation in meetings with partners, and the scoring and documentation of risk ratings
Provide support, mentoring, and feedback to audit team members throughout the audit
Provide assistance with onboarding and ongoing support to new team members
Completion of firm-wide and departmental administration and training requirements
As needed, assist with special projects related to business process improvement or internal team needs
Qualification
Required
3 - 5+ years of information technology audit experience
Demonstrated experience performing internal audits and their associated team members, among a complex operational and regulatory environment
Knowledge and experience in control theory and professional auditing practices
Ability to work as a member of a project team and champion a strong working relationship with external co-sourcing providers and internal lines of businesses
Understanding of risks and internal controls and the ability to evaluate and determine adequacy and effectiveness of controls
Knows the latest on industry and regulatory issues and standard methodologies; imparts this knowledge to the team and the auditees
Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions
Strong verbal and written communication skills with a demonstrated ability to articulate effectively and professionally
Uses relationships and insights to successfully influence others. Builds authentic and trusted relationships to create alignment and support
Preferred
CPA, CIA, or CISA preferred. Other relevant certifications will be considered
Bachelor's degree strongly preferred
Financial services and/or Big 4 Accounting experience a plus
Benefits
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
Company
Charles Schwab
We have plans for every turn you take.
10001+ employees
H1B Sponsorship
Charles Schwab has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
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Trends of Total Sponsorships
2025 (579)
2024 (468)
2023 (455)
2022 (705)
2021 (483)
2020 (282)
Funding
Current Stage
Late StageLeadership Team
J
Jim McGreevy
Senior Project Manager
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