Senior Specialist, BP Audits and SOX Compliance

About the role

The Sarbanes-Oxley Compliance Office (SCO) at Schwab performs risk assessment, scoping, testing, concluding, and results reporting for the annual assessments of management’s Internal Control over Financial Reporting (ICFR) for SOX and FDICIA, and for the annual assessment of management’s Internal Control over Compliance (ICOC) for SEA Rule 17a-5. The SCO supports Schwab’s mission by assessing controls addressing the completeness and accuracy of Schwab’s financial reporting, which is used to secure financing for the company's clients. Additionally, the SCO assesses ICOC addressing the protection of client assets, providing clients with confidence to invest with Schwab.

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

Requirements

• Bachelor’s degree in Accounting, Internal Audit, Information Systems, or Finance required
• Two or more years of related work experience in BP controls-based testing required with SOX and Big 4 public accounting experience preferred

Qualifications

• Knowledge of SOX requirements or the Financial Responsibility Rule requirements

Skills

• Strong analytical and problem-solving skills
• Excellent communication and interpersonal skills
• Ability to manage multiple tasks and projects simultaneously
• Proficiency in Microsoft Office Suite

Benefits

At Schwab, you're eligible for a competitive benefits package that includes:

• A 401(k) with company match and Employee stock purchase plan
• Paid time off for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
• Paid parental leave and family building benefits
• Tuition reimbursement
• Health, dental, and vision insurance

Pay

Salary range for this role is TBD.

Schedule

This position is located in Lone Tree, Colorado, and candidates must be within commuting distance of their assigned location within a reasonable period after starting in the role to enable participation in Schwab’s Hybrid Work & Flexibility Program.