Senior Auditor, Broker Dealer/Asset Management

Job Description

• Senior Auditor (Senior Specialist) supporting internal audit coverage for Charles Schwab’s registered domestic and international broker-dealers and retail and institutional investment advisors in a hybrid role based in Lone Tree, CO (+4 others).
• Plan and execute audits under IIA standards and IAD policies, including scoping, meetings, testing, work papers, audit deliverables, and tracking audit status, issues, and budgets.
• Identify audit observations, validate business remediation action plans, and participate in annual risk assessments involving risk scoring and documentation.
• Requires 3–5+ years of financial-services audit experience, a bachelor’s degree, and experience in complex operational and regulatory environments; CPA, CIA, or CISA strongly preferred.
• Full-time compensation is $80K–$100K per year; work involves broker-dealer/asset-management regulation, internal controls, governance, risk management, and AML standards.