Internal Audit Manager, Quality Assurance (Remote available)
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to determine 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 Professional Practices Group (PPG) within IAD provides the processes, training, and tools to support the audit teams’ adherence to standards and expectations of quality and consistency. PPG also provides the data and analysis of internal audit activities and results to the leadership team, regulators, and to CSC’s governance committees to support their performance of effective oversight. The Quality Assurance (QA) team within PPG is seeking a Manager, Quality Assurance to assist with independently evaluating that key internal audit activities continue to be performed with the level of quality and effectiveness as per departmental standards.
The Manager, Quality Assurance is an individual contributor role that reports to the Director, Quality Assurance. The QA team is a critical function within IAD that supports a growing department undergoing a transformation and continued evolution to meet regulatory expectations of a large financial institution.
Workplace Flexibility Program:We're proud to support our employees in a working approach that allows you to bring your best self to work – whether that’s in the office or remote.
- Most Schwabbies have the opportunity to voluntarily work in the office or at home based on their preference*
- When the firm is ready to fully return to the office, employees will have the flexibility of a hybrid work environment, spending some time working remote and some time in the office.
- Employees and managers can discuss and decide what works best for them, with additional flexibility available based on their role, business needs, and individual circumstances.
*Subject to change as Schwab is continually evaluating the current environment in order to best care for the safety and well-being of our employees.
What you are good at
- Using a combination of real-time and lookback approaches, partner with audit teams to perform quality assurance reviews of all phases of internal audit execution, as well as internal audit issue validation, regulatory issue validation, sustainability testing, and retrospective reviews as part of the annual Quality Assurance and Improvement Plan (QAIP).
- Perform horizontal, targeted, team-based, and/or regulatory-focused quality assurance reviews for conformance with Schwab IAD standards; Analyze results for themes and trends to resolve the best approach to course correct.
- Track and supervise audit team issue remediation progress.
- Provide guidance to the audit teams and reinforce existing and recent changes to methodology standards through timely feedback and training.
- Assist QA Senior Managers with preparing reports related to QAIP activities and results, including thematic issues and tracking and monitoring issue remediation efforts, to IAD management, the Audit Committee, and other team members.
- Provide subject matter expertise to audit teams related to the internal audit methodology and drive continuous improvement of internal audit processes.
- Assist with documentation requests in connection with external quality assurance review and regulatory exams related to
- Professional Practices QA and IAD activities.
- Periodically update QA policies and procedures to reflect the evolving internal audit methodology and to meet regulatory expectations.
- Develop and/or deliver communications and methodology training to internal audit team members and other collaborators.
- Support pivotal initiatives to expand the QAIP scope, coverage, and plan.
- Chip in to ad hoc projects to support department central initiatives.
What you have
- 5-7+ years of audit, risk, compliance, or examiner experience in public accounting, financial services, and/or regulatory agency.
- A solid understanding of internal audit best practices, financial services processes, and regulatory expectations of the internal audit function within large and complex financial institutions.
- Working knowledge of Institute of Internal Auditor (IIA) International Professional Practices Framework, Federal Reserve
- Supplemental Policy Statement on the Internal Audit Function and Its Outsourcing (SR 13-1).
- Experience reviewing/providing feedback on work performed by others.
- Experience in developing training content and facilitating training sessions.
- Thrives with learning, collaboration, knowledge sharing, and inspiring others.
- Degree or equivalent experience required; CIA, CISA, CPA or similar certification preferred.
- Strong attention to detail, analytical, and problem-solving skills.
- Strong project management skills required, with the ability to effectively handle multiple priorities and due dates.
- Demonstrated ability to resolve differences and influence positive change
Outstanding written and verbal communication skills with demonstrated ability to communicate effectively across all levels.
Target Total Compensation
Your actual pay will be based on your skills and experience -- talk with your recruiter to learn more
Why work for us?
Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.
Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further.
Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here to see the policy.
Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at email@example.com or call 800-275-1281.
TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.