Manager, IT Audits and SOX Compliance
About The Position
The Sarbanes-Oxley Compliance Office (SCO) performs risk assessment, scoping, testing, concluding, and results reporting for annual assessments of management’s Internal Control over Financial Reporting (ICFR) for SOX and FDICIA, and Internal Control over Compliance (ICOC) for SEA Rule 17a-5. The SCO assesses controls related to the accuracy and completeness of financial reporting and the protection of client assets. The Manager supports the Information Technology (IT) portions of the ICFR and ICOC assessments and is responsible for preparing and reviewing assigned portions. This is an individual contributor role reporting to a Senior Team Manager, IT Audits and SOX Compliance. The position is located in Lone Tree, Colorado. Candidates must be within commuting distance of the Schwab location within a reasonable period after starting so they can participate in Schwab’s Hybrid Work and Flexibility Program. The role offers exposure to broker-dealer, bank, and corporate processes through risk assessments, ongoing control testing, and project assessments. The Manager contributes to the IT assessments using a risk-based approach, collaborates with internal and external stakeholders, supports remediation and deficiency evaluations, coaches junior team members, and helps improve assessment and operational approaches, including through artificial intelligence, automation, and data visualization tools. The role is eligible for bonus or incentive opportunities in addition to the salary range.
Requirements
- Bachelor’s degree in Accounting, Internal Audit, Information Systems, or Information Technology.
- Four or more years of related work experience in IT controls-based testing.
- Active CPA license, CISA certification, or CIA certification required within one year of starting.
- Detailed knowledge of SOX requirements or Financial Responsibility Rule requirements.
Nice To Haves
- SOX experience.
- Big 4 public accounting experience.
Responsibilities
- Prepare and review assigned portions of the annual ICFR and ICOC assessments.
- Contribute to a risk-based approach to IT assessments by developing and applying an understanding of Schwab’s risks and controls.
- Collaborate with Business Process and Integrated Control teammates, management, Schwab’s external auditor, and other Schwab testing programs to enhance the control environment.
- Self-manage and lead assigned assessment work, documenting it in accordance with team policies, standards, and procedures.
- Partner with management to determine remediation approaches for identified issues and perform deficiency severity evaluations.
- Educate, coach, and provide feedback to junior team members, and monitor their testing progress.
- Encourage, participate in, and develop a high-performing, engaged, and positive team environment.
- Improve and innovate assessment and operational approaches, including use of artificial intelligence, automation, and data visualization tools.
Benefits
- Bonus or incentive opportunities in addition to the salary range.
- Weekly supervisor one-on-ones, regular skip-level one-on-ones, and triannual formal feedback conversations.
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What This Job Offers
Job Type
Full-time
Career Level
Manager
