Charles Schwab Corporation Hiring For Staff Auditor, AML at Austin, TX Full Time

Reporting to a Director of the Bank/AML Enterprise team, the Internal Audit Specialist 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 AML and Fraud processes and regulations. This position is also responsible for working with auditing resources provided by an external co-sourcing provider.  This individual will not have administrative responsibilities for direct reports.

What you’ll do:

• Audit Execution: Participate in the planning and execution of internal audit AML assignments, ensuring work is performed in accordance with IIA standards and IAD policies and procedures. Responsibilities will include: scheduling and participation in audit meetings; participation in scoping discussions; drafting of audit deliverables; 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 MD-level and below).
• Issue Management and Validation: Conduct validation testing of the audit issue action plans completed by the business.
• Risk Assessment: Under the direct 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 operational improvement or internal team needs.

What you have

• 1 – 3 years of financial services-related audit experience with growing responsibility. AML/Fraud experience specific to internal audit and/or similar Big 4 Accounting or regulatory experience a plus.
• Demonstrated experience performing internal audits amongst a complex 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.
• CAMS, CFE, 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 efficiency of controls.
• Stays current 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.

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