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Senior IT Auditor, Broker Dealer (Remote available)

Location Westlake, Texas, United States; Austin,Texas,United States;Phoenix,Arizona,United States;Chicago,Illinois,United States;Lone Tree,Colorado,United States;San Francisco,California,United States;Omaha,Nebraska,United States;Other,California,United States; Requisition ID 2022-79879 Category Internal Audit Position Type Regular CO Salary Range 78,200-140,800
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Your Opportunity


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 Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior IT Auditor (Senior Specialist is our internal title) primarily responsible for audit activities covering BDAM passionate about key application risks and controls. 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 Director of the BDAM Application Controls team, the Senior IT Auditor 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 efficiency of risk management, control, and governance processes. This position will focus on application technology risks within the coordinated audits, working closely with the operational auditors. This position is also responsible for working with audit resources provided by an external co-sourcing provider.


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 r\eturn 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


  • Audit Execution: 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. Additionally, 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 information technology audit experience. Financial services and/or Big 4 Accounting experience a plus.
  • 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.
  • CPA, CIA, or CISA preferred. Other relevant certifications will be considered.
  • Understanding of risks and internal controls and the ability to evaluate and determine adequacy and efficiency 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 proven 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 strongly preferred.
  • Ability to travel 15-20%

Colorado Compensation:
Target Total Compensation -78,200-140,800. 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 applicantaccessibility@schwab.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.

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