Manager, Enterprise and Operational Risk Testing

Charles Schwab-posted 3 months ago
Full-time • Mid Level
Southlake, TX
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
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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. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location. The Enterprise and Operational Risk Testing (EORT) team is part of the Enterprise and Operational Risk Management organization and executes objective and thematic evaluations of risk management activities across the Company. Reporting to the Director of the EORT team, the Manager, EORT is responsible for testing process, standards adherence as well as testing the design and effectiveness of controls across the Company's Risk and Control Self -Assessment (RCSAs). This role will lead testing projects quarterly across different topics/business units including the following risk disciplines: enterprise, operational, third-party, fraud and data.

  • Develop testing project scope, objective, and test steps for non-complex projects with input from direct management.
  • Lead self and collaborate with all testing lines of defense and peers to design non-complex testing projects.
  • Identify if data analytics can be used for testing project and communicate requests to the Data team.
  • Participate in the planning process by reviewing 2LOD annual risk assessments for assigned topics and providing input on the annual project plan.
  • Execute and document assigned testing projects with minimal error per the EORT procedures and ERM testing standards.
  • Lead meetings with stakeholders and coordinate with teams across EORT.
  • Write clear and precise testing conclusions requiring minimal review and correction.
  • QC peer workpaper deliverables and escalate changes in testing timelines, resourcing, and milestones.
  • Write complete and accurate reports documenting executive summary, background, scope, and results.
  • Draft clear and concise issues, present issues to ratings council with proposed initial rating and rationale.
  • Evaluate appropriateness of management action plans and monitor issue remediation.
  • Create initial draft of the testing results summary for Sr. Manager/Director review.
  • Identify opportunities for improvement and collaborate with team members.
  • Facilitate team training in areas of expertise and assist with onboarding new team members.
  • Participate in departmental strategic initiatives to support overall EORT objectives.
  • Equivalent experience or a Bachelor's degree in Finance, Business Administration, Accounting, Computer Science, Economics, or related area of study.
  • 3+ years of experience in audit, SOX testing, compliance testing, and enterprise/operational risk management.
  • Self-motivated with the ability to supervise, engage and manage a diverse, inclusive team.
  • Clear understanding of regulatory environment that financial institutions operate within.
  • Strong knowledge of enterprise and/or operational related industry best practices and regulatory requirements.
  • Proficiency in risk and control data analysis.
  • Strong analytical, risk assessment, and auditing skills.
  • Strong written and verbal communication skills with proven ability in communicating with senior staff, including executives.
  • Comfort with ambiguity and an ability to create a clear path forward.
  • Experience with data analytics in risk management.
  • Familiarity with financial institution regulations.
  • Bonus or incentive opportunities.
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