Senior Auditor, Broker Dealer/Asset Management

Are you a highly skilled and experienced auditor looking for a new challenge in the financial services industry? Do you have a strong background in broker dealer and asset management audits? If so, we have an exciting opportunity for you to join our team at Charles Schwab as a Senior Auditor. As a Senior Auditor in our broker dealer and asset management division, you will play a critical role in ensuring the integrity and accuracy of our financial reporting. You will have the opportunity to work with a dynamic and collaborative team, utilizing your expertise to identify and mitigate risk within our organization. To be successful in this role, you should have a deep understanding of broker dealer and asset management regulations and be able to effectively communicate and collaborate with stakeholders at all levels. We are looking for someone who is detail-oriented, analytical, and able to thrive in a fast-paced environment. If you are a motivated and driven individual with a passion for auditing and a desire to make a meaningful impact, we encourage you to apply for this exciting opportunity at Charles Schwab.

1. Conduct thorough and accurate audits of the company's broker dealer and asset management divisions.
2. Identify potential risks and areas for improvement within the organization's financial reporting processes.
3. Ensure compliance with all relevant regulations and standards in the financial services industry.
4. Communicate effectively with stakeholders at all levels to gather necessary information and address any concerns or questions.
5. Collaborate with team members to develop and implement effective audit plans and strategies.
6. Perform detailed analysis and testing of financial data and records to verify accuracy and completeness.
7. Prepare comprehensive audit reports and make recommendations for corrective actions.
8. Maintain up-to-date knowledge of industry regulations, trends, and best practices.
9. Participate in special projects and initiatives related to the broker dealer and asset management divisions.
10. Mentor and train junior auditors to help develop their skills and knowledge.
11. Act as a subject matter expert and resource for other departments and teams within the organization.
12. Conduct regular reviews and updates of audit procedures to ensure they are in line with industry standards.
13. Foster a culture of continuous improvement and actively seek out opportunities to enhance processes and procedures.
14. Maintain confidentiality and integrity of all financial data and information.
15. Adhere to strict deadlines and prioritize tasks effectively to meet audit timelines.
16. Represent the company in a professional and ethical manner at all times.

According to JobzMall, the average salary range for a Senior Auditor, Broker Dealer/Asset Management in Lone Tree, CO, USA is $100,000-$120,000 per year. This may vary based on factors such as experience, education, and specific job duties. Additionally, bonuses and benefits may also be offered in addition to the base salary.

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.