Senior Specialist, 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 completeness and accuracy of Schwab’s financial reporting and the protection of client assets. The Senior Specialist supports the Information Technology (IT) portions of the ICFR and ICOC assessments and is responsible for preparing assigned portions. The role reports to a Senior Team Manager, IT Audits and SOX Compliance. It is based in Lone Tree, Colorado; candidates must be within commuting distance of the Schwab location within a reasonable period after starting to participate in Schwab’s Hybrid Work and Flexibility Program.
Requirements
- Bachelor’s degree in Accounting, Internal Audit, Information Systems, or Information Technology.
- Two or more years of related work experience in IT controls-based testing.
- Knowledge of SOX requirements or Financial Responsibility Rule requirements.
- Must be within commuting distance of the Schwab location in Lone Tree, Colorado, within a reasonable period after starting, to participate in the Hybrid Work and Flexibility Program.
Nice To Haves
- SOX experience.
- Big 4 public accounting experience.
Responsibilities
- Contribute to a risk-based approach for the IT portions of Schwab’s annual ICFR and ICOC assessments by developing and applying an understanding of Schwab’s risks and controls.
- Prepare assigned portions of assessments, self-managing and leading the work, and document it in accordance with team policies, standards, and procedures.
- Collaborate with management, Schwab’s external auditor, and other Schwab testing programs to enhance Schwab’s control environment.
- Participate in robust risk assessments, ongoing control testing, and project assessments involving broker-dealer, bank, and corporate processes.
- Contribute to a high-performing, engaged, and positive team environment.
- Improve and innovate the SCO’s 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.
- Supportive team with weekly supervisor one-on-ones, regular skip-level one-on-ones, and triannual formal feedback conversations.
- Hybrid Work and Flexibility Program.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
