Senior Operations Control & Audit Consultant

Description:


The Schwab Operations Control & Audit group is hiring in our San Francisco, CA location.



The Schwab Operations Control & Audit group assists business management throughout Schwab Operations in building and enhancing the necessary infrastructure / audit / control systems to manage operational risk efficiently and effectively. Schwab Operations Control consultants work closely with management to identify, measure, monitor, and mitigate operational risk arising from a variety of sources, e.g., business processes, technology, new product implementation, general business initiatives and external events.



Description

Senior Control/Audit Consultant will work closely with Operations Management to examine, review, and validate regulatory controls, monitor internal controls, develop/implement control and audit programs, and perform targeted Reviews, Projects and Investigations. Consultant will serve as liaison for Internal Audit, Legal and Compliance and assist with system access oversight as well as assist in training and communication of risk information and control.



Requirements
Requires minimum of 5+ years experience in the brokerage or financial services industry
Familiar with a variety of industry concepts, practices, procedures, and audit/control mechanisms.
Prior “Big 4” audit control, accounting control, operations control creation and implementation experience is strongly preferred.
Series 7, 63 , and 24 licenses also strongly preferred
Strong working knowledge of regulatory principles, processes and requirements
Develop risk assessments and audit plans, and assist in the planning, execution, and results analysis of testing activities
Provides risk support for projects/initiatives with moderate/high risk. Proven project management, research analytical, and problem solving
Monitor the resolution of audit findings, management testing and control validation process
Must have ability to analyze issues and written materials, overlay applicable industry regulations, and identify risks
Strong working knowledge of common, effective fraud prevention technologies, tools and processes
Excellent organizational skills and attention to detail and strong teamwork, interpersonal and oral/written communication skills



Key factors for success in this role

1. Strong ability to identify and research control issues with senior management.

2. Ability to quickly make decisions that appropriately balance risk and service requirements.

3. Ability to effectively and professionally communicate financial and technical information to business partners and colleagues with widely varying levels of subject matter expertise.



Requirements: Relocation Offered? No Work Schedule Days Languages English - written, English - spoken Current Licenses / Certifications None Relevant Work Experience Brokerage Operations-6+ yrs Position Located In CA - San Francisco Education BA/BS Job Type Full Time