Address
Form of workThe 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 effectiveness of governance processes, risk management, and internal controls.
The Professional Practices Group (PPG) within IAD provides the processes, training, and tools to support the audit teams' adherence to standards and expectations of quality and consistency. PPG also provides the data and analysis of Internal Audit activities and results to the leadership team, regulators, and to CSC's governance committees to support their performance of effective oversight. The Quality Assurance (QA) team within PPG is seeking a Senior Manager, Quality Assurance to assist with independently evaluating that key Internal Audit activities continue to be performed with the level of quality and effectiveness as per departmental standards.
The Senior Manager, Quality Assurance is an individual contributor role that reports to the Director, Quality Assurance. The QA team is a critical function within IAD that supports a growing department that continues to evolve to meet regulatory expectations of a large financial institution.
What you'll do:
- Manage and perform internal Quality Assurance reviews of various audit activities selected as part of the annual Quality Assurance and improvement program (QAIP) for conformance with internal policies, procedures, and standards. This includes reviewing workpapers, providing feedback, and reinforcing audit execution practices based on review results.
- Prepare reports related to QAIP activities and results, including thematic issues, and tracking and monitoring remediation efforts, to IAD management, the Audit Committee, and other stakeholders.
- Track, monitor and validate audit team remediation of QA findings.
- Provide subject matter expertise to audit teams related to the Internal Audit methodology and drive continuous improvement of Internal Audit processes.
- Support the maintenance and periodic refresh of the QA procedures manual, QA review templates and reports.
- Assist with documentation requests in connection with external Quality Assurance review and regulatory exams related to QA and IAD activities.
- Periodically support the development and/or delivery of IAD methodology updates, and training to Internal Audit team members.
- Support strategic initiatives to expand the QAIP scope, coverage, and plan.
- Contribute to ad hoc projects to support department strategic initiatives.
- At least eight years of Internal Audit, risk, or compliance experience in a public accounting, financial services, and/or regulatory agency with a working knowledge of Internal Audit best practices, financial services processes, and regulatory expectations of the Internal Audit function within large and complex financial institutions.
- Degree or equivalent experience required; CIA, CISA, CPA or similar certification preferred.
- Working knowledge of the Institute of Internal Auditor (IIA) International Professional Practices Framework, and the Federal Reserve Supplemental Policy Statement on the Internal Audit Function and Its Outsourcing (SR 13-1).
- Strong attention to detail, analytical, and problem-solving skills.
- Effective project management skills with the ability to successfully manage multiple priorities and due dates.
- Experience leading others across multiple locations, including providing coaching and feedback.
- Capability to resolve differences and influence positive change, strong interpersonal skills.
- Outstanding written and oral communication skills, presentation skills, including excellent ability to summarize complex audit results and issues for succinct and impactful presentations across all levels.
- Experience with delivering training content and guiding/training others.
