
Director, Internal Audit- Broker Dealer
As a leader of the Internal Audit team at Charles Schwab, the Director of Internal Audit- Broker Dealer will be a key contributor to our success. In this role you will be responsible for providing independent and objective internal audit services to the broker dealer. We are looking for an experienced, highly organized and detail-oriented individual with excellent communication skills to help ensure the highest standards of integrity, accuracy and compliance with regulatory and internal controls. The ideal candidate has a Bachelor’s degree in Accounting, Finance, or related field and 5+ years of audit experience in the financial services industry. If you have a passion for audit and are eager to join a growing team, we want to hear from you!
Finance
Proficient In Microsoft Office Suite
Bachelor's Degree In Accounting
Economics Or Other Related Field
Cpa
Cia Or Other Professional Certification
+ Years Of Related Experience In A Broker Dealer Or Investment Advisor
Knowledge Of Finra
Sec And Other Regulatory Requirements
Proven Experience Leading And Managing A Staff
Excellent Written And Verbal Communication Skills
Documentation
Risk Management
Research
Training
Planning
Communication
Negotiation
Leadership
Auditing
Reporting
Financial Management
Compliance
Analysis
Problem-Solving
Regulations
Communication
Conflict Resolution
Leadership
Time management
Interpersonal Skills
creativity
Organization
flexibility
collaboration
Problem-Solving
According to JobzMall, the average salary range for a Director, Internal Audit- Broker Dealer in Chicago, IL, USA is between $143,000 and $193,000 per year. This range can vary depending on the size of the company, the industry, and the experience of the individual.
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Through its operating subsidiaries, The Charles Schwab Corporation (NYSE: SCHW) provides a full range of securities brokerage, banking, money management and financial advisory services to individual investors and independent investment advisors. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (member SIPC, www.sipc.org), and affiliates offer a complete range of investment services and products including an extensive selection of mutual funds; financial planning and investment advice; retirement plan and equity compensation plan services; compliance and trade monitoring solutions; referrals to independent fee-based investment advisors; and custodial, operational and trading support for independent, fee-based investment advisors through Schwab Advisor Services.

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