Charles Schwab

Director, Internal Audit- Broker Dealer

Charles Schwab

Chicago, IL, USA
Full-TimeDepends on ExperienceSenior LevelMasters
Job Description

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!

Where is this job?
This job is located at Chicago, IL, USA
Job Qualifications
  • 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

Required Skills
  • Documentation

  • Risk Management

  • Research

  • Training

  • Planning

  • Communication

  • Negotiation

  • Leadership

  • Auditing

  • Reporting

  • Financial Management

  • Compliance

  • Analysis

  • Problem-Solving

  • Regulations

Soft Skills
  • Communication

  • Conflict Resolution

  • Leadership

  • Time management

  • Interpersonal Skills

  • creativity

  • Organization

  • flexibility

  • collaboration

  • Problem-Solving

Compensation

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.

Additional Information
Charles Schwab is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We do not discriminate based upon race, religion, color, national origin, sex, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.
Required LanguagesEnglish
Job PostedApril 4th, 2023
Apply BeforeMay 22nd, 2025
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About Charles Schwab

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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