Senior Auditor - Broker-Dealer/Asset Management
Job in
Austin, Travis County, Texas, 78716, USA
Listed on 2026-07-25
Listing for:
Charles Schwab
Full Time
position Listed on 2026-07-25
Job specializations:
-
Business
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
Charles Schwab seeks an experienced Senior Auditor to provide independent assessments of operations and compliance within Broker-Dealer/Asset Management. The role emphasizes risk management, internal controls, and governance, reporting to a Director or Senior Manager.
Responsibilities include planning and executing audits, drafting observations, validating action plans, participating in risk assessment, and supporting the audit team with onboarding and special projects.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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