Senior IT Auditor, Bank

    • Westlake, TX

Your Opportunity The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to resolve 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 effectiveness of governance processes, risk management, and internal controls.

The Bank enterprise team is seeking an Internal Audit Technology Sr. Specialist primarily responsible for executing testing on application audits for the Bank Enterprise. Application audits focus on automated functionality and data integrity that support business processes such as segregation of duties, configuration management, system interfaces, and data processing.

Reporting to a Technology Senior Team Manager within the Bank enterprise team, the Internal Audit Sr. Specialist will have responsibility for the independent and objective assurance activity designed to improve the organization's operations and compliance with key regulations by evaluating and improving the effectiveness of risk management, control, and governance processes. This position will focus on application technology risks within the integrated audits for the Bank enterprise, working closely with the operational auditors. The team also shares responsibility for regulatory agency interactions, Board and Executive Management reporting, and general relationship management. The Senior Specialist will have responsibility for assisting in the independent and objective assurance activities designed to improve the organization's operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes as it relates to technology.

What you are good at

  • Support a team of internal professionals ensuring audit work is performed in accordance with IIA standards and the IAD Policies and Procedures.
  • Collaborate closely with first and second lines of defense to ensure ongoing communication and coordination.
  • Support day-to-day integrated internal audits for the Bank, Trust, and AML audit teams by developing and executing audit tests of automated business controls based on scope and the relevant risks.
  • Work with the Bank audit team members to appropriately scope and execute testing focused on the most substantial and relevant risks.
  • Document and 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.
  • Address issues during the internal audit process by gathering facts, developing potential solutions, determining the best solutions, and implementing an action plan to solve the problem.
  • Provide proactive consultation in identifying risk exposures and in evaluating solutions for internal control weaknesses and regulatory compliance issues.
  • Evaluate the adequacy and timeliness of management's response and the corrective action taken on all significant weaknesses noted in the report.
  • Identify themes, trends, and emerging risks for advancement and communication to IAD senior management.
  • Promote the increased use of data analytics techniques to evaluate large data sets for trends and anomalies.

What you have
  • 3 to 5 years of information technology audit experience. Financial services and/or Big 4 Accounting experience a plus.
  • Demonstrated experience performing internal audits within a sophisticated operational and regulatory environment.
  • Knowledge and experience in control theory and professional auditing practices.
  • Professional certification (CISA, CPA, CIA or equivalent) preferred.
  • Understanding of business technologies and its impact to control practices.
  • 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.
  • Bachelor's degree required.
  • Ability to travel - up to 20%.

Back to top