Internal Audit Manager, Broker-Dealer/Asset Management

Charles Schwab

Chicago, IL

Description:

Chicago - IL, IL150SW, 150 S Wacker Dr, 60606-4111

Jessie M. Golden

20181109-7054

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

Internal Audit (IAD) provides independent and objective assessments of the effectiveness of risk management activities, the internal control environment, and compliance with applicable regulations. The Broker-Dealer and Asset Management division provides internal audit coverage of the business process activities and compliance functions for the firm’s registered broker-dealer and the registered retail and institutional investment advisors. Reporting to the Managing Director, the Asset Management/Broker Dealer Audit Manager has responsibility for the independent and objective assurance activity designed to improve the firm’s operations and compliance with key regulations by evaluating and improving the effectiveness of risk management, control, and go

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