Senior IT Audit Manager, Technology

Job Description

Your Opportunity

The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and candid 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 an Internal Audit Senior Manager primarily responsible for leading 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, organizational 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 figure out whether intended business objectives were met and to identify risks or issues early.

Reporting directly to the Director of the Technology enterprise team, the Internal Audit Senior Manager 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 specifically around the firm’s IT infrastructure, operations and security programs. This position is also responsible for working with auditing resources provided by an external co-sourcing provider.

What you are good at

• Audit Execution:
  
  • Direct and supervise the design and execution of IT internal audits specific to infrastructure. Ensure work is performed in accordance with IIA standards and IAD policies and procedures.
  • Participate in an audit team may include internal or co-sourced internal audit professionals.
  • Lead meetings with partners
  • Ensure coordination with integrated and data analytic audit teams
  • Prepare and/or reviewing work papers to ensure clear identification of risks and issues, validating appropriateness of fieldwork testing, and sign-off on audit results.
  • Handle and advance changes in audit timelines, budget, resourcing, and achievements.
  • Assess the quality of management’s Risk & Control Self-Assessments; and support the assessment of the operational risk management program that leads the RCSA program.
• Issues Identification: Review draft issue observations, vet issues with key partners, identify compensating controls, and evaluate the appropriateness of the management action plan prior to finalizing the audit report.
• Issue Management and Validation: Observe and review issue validation testing to ensure comprehensive testing and alignment to SLAs. Ensure accurate team reporting of issue validation status.
• Business and Project Monitoring: Coordinate and participate in the department’s business and project monitoring program execution to identify emerging risks. Document meeting minutes.
• Risk Assessment: Participate in the annual Risk Assessment process, including the scoring and documentation of risk ratings. Review audit universe updates after the completion of each audit.
• Coaching: Provide support, mentoring, and feedback to the audit team throughout the audit. Provide assistance with onboarding and ongoing support to new team members.
• Regulatory: Conduct or review validation testing on the action plans completed by management to address MRAs. As needed, provide responses to IAD management related to regulatory questions during exams.
• 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 operational improvement or department critical initiatives.

What you have

• 7-10+ years of IT audit experience with increasing responsibility. Financial services and/or Big 4 Accounting experience a plus.
• Demonstrated experience running IT internal audits and their associated team members, among a sophisticated operational and regulatory environment.
• Ability to lead a project team and cultivate a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses.
• CPA, CIA, or CISA strongly preferred. Other relevant certifications will be considered.
• Clear understanding of regulatory expectations in the execution of audit work, issue validation, MRA validation, and the response to regulatory inquiries.
• Solid 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.
• 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 15-20%

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 protected] 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.