Manager, IT Audits and SOX Compliance

About the Role

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 industry together.

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 IT portions of Schwab’s annual ICFR and ICOC assessments by seeking and applying understanding of Schwab’s risks and controls
• Collaborate with the SCO’s Business Process and Integrated control teammates, management, Schwab’s external auditor, and other Schwab testing programs to enhance Schwab’s control environment
• Self-manage and lead the preparation and review of assigned assessment portions, including documenting high-quality work in accordance with team policies, standards, and procedures
• Partner with management to determine how to remediate identified issues and perform deficiency severity evaluations
• Provide more junior team members with education, coaching, and feedback, and monitor their testing progress

Requirements

• Bachelor’s degree in Accounting, Internal Audit, Information Systems, or Information Technology required
• Four or more years of related work experience in IT controls-based testing required with SOX and Big 4 public accounting experience preferred
• Active CPA license, CISA certification, or CIA certification required within one year of starting
• Detailed knowledge of SOX requirements or the Financial Responsibility Rule requirements

Benefits

• 401(k) with company match and Employee stock purchase plan
• Paid time 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