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 Technology enterprise team is seeking a Senior Specialist primarily responsible for performing infrastructure audits. The Technology internal audit enterprise team is responsible for the execution of infrastructure, application, and project audits. Infrastructure audits focus on systems and technology that support and secure Charles Schwab applications with a focus on areas such as cybersecurity, data center, information technology (IT) operations, operational change, network security, and cloud computing. 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. Project audits are assessments over key initiatives to determine whether intended business objectives were met and to identify risks or issues early.
Collaborating with the Senior Manager of the Technology enterprise team, the Senior Specialist will have responsibility for assisting in the independent and objective assurance activity 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 specifically around the firm's IT infrastructure, operations and security programs.
What you are good at
- Audit Execution:
- Participate in the planning and execution of internal audit assignments specific to IT infrastructure.
- Ensure work is performed in accordance with IIA standards and IAD policies and procedures.
- Perform audit responsibilities including: scheduling and participation in audit meetings; participation in scoping discussions; drafting of audit goals; 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.
- Issues Identification: 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).
- Issue Management and Validation: Conduct validation testing of the audit issue action plans completed by the business.
- Risk Assessment: Under the supervision of IAD Management, participate in the annual Risk Assessment process, including scheduling and participation in meetings with partners, and the scoring and documentation of risk ratings.
- Coaching: Provide support, mentoring, and feedback to audit team members throughout the audit. Provide assistance with onboarding and ongoing support to new team members.
- Administration/Training: Completion of firm-wide and departmental administration and training requirements.
- Other Initiatives/Special Projects: As needed, assist with special projects related to business process improvement or internal team needs.
What you have
- 3 - 5+ years of IT audit experience with growing responsibility. Financial services and/or Big 4 Accounting experience a plus.
- Demonstrated experience performing internal audits and their associated team members, among a sophisticated operational and regulatory environment.
- 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.
- CPA, CIA, or CISA strongly preferred. Other relevant certifications will be considered.
- Understanding of risks and internal controls and the ability to evaluate and figure out 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 shown ability to articulate effectively and authoritatively.
- Bachelor's degree required.
- Ability to travel 15-20%
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