Charles Schwab Corporation Lone Tree , CO 80124
Posted 1 week ago
Your Opportunity
At Schwab, you're empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us "challenge the status quo" and transform the finance industry together.
The Sarbanes-Oxley Compliance Office (SCO) performs risk assessment, scoping, testing, concluding, and results reporting for the annual assessments of management's Internal Control over Financial Reporting (ICFR) for SOX and FDICIA, and for the annual assessments of management's Internal Control over Compliance (ICOC) for SEA Rule 17a-5. The SCO supports Schwab's mission by assessing controls addressing the completeness and accuracy of Schwab's financial reporting, and Schwab's financial reporting is used to secure financing so the company can meet the needs of our clients. In addition, the SCO assesses ICOC addressing the protection of client assets, which gives clients comfort to invest their assets with Schwab.
The SCO is looking for a Team Manager to support the Information Technology (IT) portions of the ICFR and ICOC Assessments. This Team Manager will be accountable for the portions of the assessments that they are assigned to prepare and review, and this position reports to the Senior Team Manager, IT Audits and SOX Compliance. This Team Manager has up to three direct reports. This position is located in Lone Tree, Colorado, or Phoenix, Arizona, and candidates must be within commuting distance of their assigned location within a reasonable period after starting in the role to enable participation in Schwab's Hybrid Work & Flexibility Program.
What you have
Bachelor's degree in Accounting, Finance, Information Systems, or Information Technology required
Five or more years of related work experience in IT controls-based testing required with SOX and Big 4 public accounting experience preferred
Active CPA license, CISA certification, or CIA certification required
Detailed knowledge of SOX requirements or the Financial Responsibility Rule requirements
Demonstrated ability to develop talent
What you'll do:
Gain exposure to broker-dealer, bank, and corporate processes through robust risk assessments, varied ongoing control testing, and unique project assessments
Determine a risk-based approach to the IT and Business Process (BP) portions of Schwab's annual ICFR and ICOC assessments by seeking and applying understanding of Schwab's risks and controls
Collaborate with the SCO's BP control teammates, management, Schwab's external auditor, and other Schwab testing programs to enhance Schwab's control environment
Support overall team administration, including interviewing, scheduling, evaluating performance, leading project assessments, and preparing results reporting
Lead, occasionally prepare, and review assigned assessment portions, including documenting high-quality work in accordance with team policies, standards, and procedures
Partner with management to determine how to remediate identified issues and perform deficiency severity evaluations
Provide more junior team members with education, coaching, and feedback, and monitor their testing progress
Develop direct report talent and support their engagement and career needs
Encourage, participate in, and develop a high performing, engaged, and positive team environment
Grow your career on a supportive team that holds weekly supervisor one-on-ones, regular skip-level one-on-ones, and quarterly formal feedback conversations
Improve and innovate the SCO's assessment and operational approaches, including with automation and data visualization tools
In addition to the salary range, this position is also eligible for bonus or incentive opportunities
Charles Schwab Corporation