Senior Specialist, Business Process Audits & SOX Compliance Position Available In Pettis, Missouri

Job Description:

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 industrytogether. The Sarbanes-Oxley Compliance Office (SCO) performs riskassessment, scoping, testing, concluding, and results reporting forthe annual assessments of management’s Internal Control overFinancial Reporting (ICFR) for SOX and FDICIA, and for the annualassessment of management’s Internal Control over Compliance (ICOC)for SEA Rule 17a-5. The SCO supports Schwab’s mission by assessingcontrols addressing the completeness and accuracy of Schwab’sfinancial reporting, and Schwab’s financial reporting is used tosecure financing so the company can meet the needs of our clients.

In addition, the SCO assesses ICOC addressing the protection ofclient assets, which gives clients comfort to invest their assetswith Schwab. The SCO is looking for a Senior Specialist to supportthe Business Process (BP) portions of the ICFR and ICOCAssessments. This Senior Specialist will be accountable for theportions of the assessments that they are assigned to prepare, andthis position reports to a Team Manager, BP Audits and SOXCompliance.

This position is located in Lone Tree, Colorado, andcandidates must be within commuting distance of their assignedlocation within a reasonable period after starting in the role toenable participation in Schwab’s Hybrid Work & Flexibility Program.

What you have

• Bachelor’s degree in Accounting, Internal Audit,Information Systems, or Finance required
• Two or more years ofrelated work experience in BP controls-based testing required withSOX and Big 4 public accounting experience preferred
• Knowledge ofSOX requirements or the Financial Responsibility Rule requirementsWhat youll do:
• Gain exposure to broker-dealer, bank, andcorporate processes through robust risk assessments, varied ongoingcontrol testing, and unique project assessments
• Contribute to arisk-based approach to the BP portions of Schwab’s annual ICFR andICOC assessments by seeking and applying understanding of Schwab’srisks and controls
• Collaborate with management, Schwab’s externalauditor, and other Schwab testing programs to enhance Schwab’scontrol environment
• Self-manage and lead the preparation ofassigned assessment portions, including documenting high-qualitywork in accordance with team policies, standards, and procedures
• Encourage and participate in a high performing, engaged, andpositive team environment
• Grow your career on a supportive teamthat holds weekly supervisor one-on-ones, regular skip-levelone-on-ones, and quarterly formal feedback conversations
• Improveand innovate the SCO’s assessment and operational approaches,including with automation and data visualization tools In additionto the salary range, this position is also eligible for bonus orincentive opportunities What’s in it for you At Schwab, we’recommitted to empowering our employees’ personal and professionalsuccess.

Our purpose-driven, supportive culture, and focus on yourdevelopment means you’ll get the tools you need to make a positivedifference in the finance industry. Our Hybrid Work and Flexibilityapproach balances our ongoing commitment to workplace flexibility,serving our clients, and our strong belief in the value of beingtogether in person on a regular basis. We offer a competitivebenefits package that takes care of the whole you – both today andin the future:

• 401(k) with company match and Employee stockpurchase plan
• Paid time for vacation, volunteering, and 28-daysabbatical after every 5 years of service for eligible positions
• Paid parental leave and family building benefits
• Tuitionreimbursement
• Health, dental, and vision insurance