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Charles Schwab · 10 hours ago

Sr. Specialist, Business Process Audits & SOX Compliance

Lone Tree, CO

Full-time

Hybrid

Mid, Senior Level

2+ years exp

Charles Schwab is a financial services company that empowers its employees to make an impact on their careers. They are seeking a Senior Specialist to support the Business Process portions of the ICFR and ICOC Assessments, focusing on risk assessments, control testing, and collaboration with management and external auditors.

Financial Services

Responsibilities

Gain exposure to broker-dealer, bank, and corporate processes through robust risk assessments, varied ongoing control testing, and unique project assessments

Contribute to a risk-based approach to the BP portions of Schwab’s annual ICFR and ICOC assessments by seeking and applying understanding of Schwab’s risks and controls

Collaborate with management, Schwab’s external auditor, and other Schwab testing programs to enhance Schwab’s control environment

Self-manage and lead the preparation of assigned assessment portions, including documenting high-quality work in accordance with team policies, standards, and procedures

Encourage and participate in 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