Sr. Specialist, Business Process Audits & SOX Compliance

About the Role

This position involves oxley compliance office (sco) performs risk assessment, scoping, testing, concluding, and results reporting for the annual assessments of management’s...

Responsibilities

• Oxley Compliance Office (SCO) 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, and Schwab’s financial reporting is used to secure financing so the company can meet the needs of our clients. In addition, the SCO assesses ICOC addressing the protection of client assets, which gives clients comfort to invest their assets with Schwab.

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
• Knowledge of SOX requirements or the Financial Responsibility Rule requirements
• 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

Compensation

• Base pay: $28.70 - $52.88/hr