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Charles Schwab Manager, IT ICFR and ICOC Compliance in Lone Tree, Colorado

Your Opportunity

The Sarbanes-Oxley Compliance Office (SCO) is an independent management assessment group that performs the annual assessments of management’s Internal Control over Financial Reporting (ICFR) for SOX and FDIC Part 363, and the annual assessments of management’s Internal Control over Compliance (ICOC) for Schwab’s broker-dealers. The SCO supports Schwab’s mission by testing the controls addressing the completeness and accuracy of Schwab’s financial reporting, and in turn Schwab’s financial reporting is used to obtain the capital needed for the business’s growth. In addition, the SCO tests controls addressing the protection of customer assets, which gives customers confidence to invest their assets with Schwab.

The SCO is looking for a Manager, Information Technology (IT) ICFR and ICOC Compliance, to support the ICFR and ICOC assessments. This Manager is accountable for the portions of the assessment that they are assigned to prepare and review, and this position reports to the Senior Manager, IT ICFR and ICOC Compliance. This Manager is an individual contributor.

What you are good at

  • Support an informed and risk-based approach to the IT controls of Schwab’s annual ICFR and ICOC assessments during project management, risk assessment, scoping, testing, issue management, concluding, and results reporting

  • Collaborate with the SCO’s Business Process control teammates, management, Schwab’s external auditor, and other testing groups to enhance the SCO’s and Schwab’s understanding and implementation of ICFR and ICOC

  • Resolve challenges affecting testing and with assessment contacts, including collaborating with management to resolve how to remediate issues

  • Lead, document, and review high-quality control and project work in accordance with team policies, methodologies, and procedures

  • Provide more junior team members with education, coaching, and feedback, and supervise their testing progress

  • Encourage, participate in, and develop a high-functioning, engaged, and positive team environment

  • Improve and innovate the SCO’s assessment and operational approaches, including with automation and visualization tools

What you have

  • Bachelor’s degree in Accounting, Finance, Information Systems, or Information Technology required

  • Three or more years of related work experience in IT controls-based testing required with SOX and Big 4 public accounting experience preferred

  • CPA license, CISA certification, or CIA certification required

  • Detailed knowledge of Sarbanes-Oxley requirements and the COSO framework, or the Financial Responsibility Rule requirements

Colorado Compensation

Target Total Compensation - 76,600 - 132,600.

Your actual pay will be based on your skills and experience -- talk with your recruiter to learn more.

Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.

Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further (https://content.schwab.com/web/retail/public/about-schwab/charles_schwab_recruitment_guide_2020.pdf) .

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here (https://www.aboutschwab.com/EEO) to see the policy.

Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at applicantaccessibility@schwab.com or call 800-275-1281 (tel:800-275-1281) .

TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.

Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further (https://content.schwab.com/web/retail/public/about-schwab/charlesschwabrecruitmentguide2020.pdf). Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here (https://www.aboutschwab.com/EEO) to see the policy. Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at applicantaccessibility@schwab.com or call 800-275-1281. TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.

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