Sr. Specialist, Business Process Audits & 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 that support accurate and complete financial reporting and the protection of client assets. The Senior Specialist supports the Business Process (BP) portions of the ICFR and ICOC assessments and is responsible for preparing assigned portions. The role reports to a Senior Team Manager, BP Audits and SOX Compliance. It is located 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, or Information Systems.
- Two or more years of related work experience in Business Process 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
- Gain exposure to broker-dealer, bank, and corporate processes through risk assessments, ongoing control testing, and project assessments.
- Contribute to a risk-based approach for the Business Process portions of Schwab’s annual ICFR and ICOC assessments by understanding and applying knowledge of Schwab’s risks and controls.
- Collaborate with management, Schwab’s external auditor, and other Schwab testing programs to enhance the control environment.
- Self-manage and lead preparation of assigned assessment portions, documenting high-quality work according to team policies, standards, and procedures.
- Encourage and participate in 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.
- 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
Senior
