Senior Auditor

Job Summary:

This role involves executing audits that focus on governance processes, risk management programs, internal controls, and regulatory compliance. The team also supports regulatory agency interactions, Board and Executive Management reporting, and relationship management within the Charles Schwab Banking and Trust Services (BTS) organization. Additionally, this role includes assessing AML compliance, including BSA and OFAC requirements, and conducting Fraud and Conduct audits.

Responsibilities:

• Audit Execution: Participate in the planning and execution of internal audit AML assignments, ensuring compliance with IIA standards and IAD policies. This includes scheduling audit meetings, drafting audit deliverables, and completing work papers.
• Issues Identification: Based on audit results, identify and draft audit observations for review by Internal Audit Managers and senior partners.
• Issue Management and Validation: Conduct validation testing of audit issue action plans.
• Risk Assessment: Participate in the annual Risk Assessment process, documenting and scoring risk ratings.
• Coaching: Provide support and mentoring to audit team members, including onboarding and ongoing assistance.
• Administration/Training: Complete required firm-wide and departmental administration and training.
• Other Initiatives/Special Projects: Assist with special projects aimed at improving business operations or internal team needs.

Qualifications and Experience:

• 3 - 5+ years of financial services-related audit experience, with a focus on AML/Fraud audits.
• Experience in performing internal audits in complex operational and regulatory environments.
• Strong ability to work within a team and cultivate relationships with both external co-sourcing providers and internal business lines.
• Certifications such as CAMS, CFE, CPA, CIA, or CISA are preferred.
• Strong understanding of risk management, internal controls, and their evaluation.
• Stays current on industry and regulatory issues and applies this knowledge within the team and to auditees.
• Excellent analytical, communication, and problem-solving skills.
• Bachelor's degree required.
• Ability to travel 15-20%.

Benefits:

• Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Wellness Champions.
• Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts.
• Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer.
• Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships.
• Not just a job, but a career, with an opportunity to do the best work of your life.

About Company:

The Charles Schwab Corporation was established over 40 years ago to champion Main Street over Wall Street and to help Americans transition from earners to owners. Through advocacy and innovation, Schwab works to make investing more affordable, accessible, and understandable for all. The company is committed to creating a better future for its employees and clients through talent and innovation.