Charles Schwab Sr. Staff - Audit & Compliance in Phoenix, Arizona


Phoenix - AZ, PHXPEAK, 2423 E Lincoln Dr, 85016-1215

Christine Marie Mosby


We believe that , when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck at over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

The Technology Risk & Controls (“TRAC”) organization is within in the Schwab Cybersecurity Services area in the Schwab Technology Services (“STS”) enterprise. The TRAC Team provides visibility for audit, risk and controls activities. The Control & Engagement (“C&E”) team objective is to streamline and mature the organization’s capability to respond internal audits, regulatory exams, and third party reviews through the creation of automated compliance and remediation solutions which in turn will facilitate a constant state of audit and exam readiness at Schwab. The C&E Team also acts as a facilitator and advocate for STS Teams during audits and examinations and provides support for the development of tools to prepare and maintain control procedures essential for efficient and less intrusive audit activities.

What you’ll do:

Reporting to the Senior Manager of Technology Risk and Control (TRAC) Controls & Engagement (C&E), the successful candidate will be responsible for supporting Schwab Technology Services (STS):

  • Internal and external audits,

  • Regulatory examinations,

  • Client due diligence activities,

  • Other internal control testing,

  • Tracking control and audit issues, and

  • Support the documentation of control procedures across STS.

This senior staff, in collaboration with the Senior Manager of C&E, will also:

  • Foster an open and honest risk and controls management culture across business and technologies teams,

  • Cultivate and support an ongoing state of regulatory and audit readiness and ongoing risk reduction,

  • Coordinate with Schwab’s second line of defense organizations on the execution and maintenance of firm wide assessments and continuous monitoring of controls, and

  • Work closely with TRAC IT Risk Management to drive a holistic risk and controls program.

The individual in this position will:

  • Coordinate TRAC C&E support on internal and external audits, regulatory examinations, client due diligence engagements, and other risk and control assignments.

  • Assist management with the development and documentation of achievable and sustainable action plans to remediate identified control weaknesses.

  • Reach out, where appropriate, to IT Management, Information Security Risk Management, Business Management, and Operational Risk Management to offer support and assistance in risk and control-related matters to ensure an open, adequate and effective risk management culture.

  • Identify controls requiring attention or strengthening and work collaboratively with other STS disciplines to implement improvements in line with corporate standards, applicable regulations, and/or best practice frameworks.

  • Provide risk and control management consulting services and subject matter expertise as a participant on STS improvement initiatives or in response to ad hoc requests.

  • Creatively solve unfamiliar challenges, use personal integrity, and sound judgment, while maintaining strict confidentiality when needed, always with a strong sense of the business.

  • Produce clear and concise risk and control reporting and support ad hoc management report requests.

  • Develop, refine, and execute various TRAC processes.

  • Support client site visits and IT contract consultations.

Foster communication by:

  • Developing and maintaining relationships with a broad network within STS and the Business

  • Providing support to management, as necessary, during the prioritization process for risk and control mitigation activities.

  • Participating in industry-related forums and training activities to stay current with risk and control management practices.

  • Supporting a team of professionals providing IT Risk and control services across STS business units.

  • Improving employee engagement by advancing teamwork, transparency, and accountability.

What you have:

  • Five or more years of experience in audit and/or IT security related positions.

  • BA/BS degree preferred

  • Strong ability to work within a distributed team setting and maintain a positive and professional composure in a work environment that often requires management/completion of multiple concurrent tasks within close deadlines and high demands, with a high degree of accuracy and detail.

  • Proactive self-starter with the ability to direct their own work flow as well as those of others.

  • Self-motivated and able to bring projects and reporting to conclusion.

  • Highly organized and able to manage a large number of tasks at once, prioritize multiple initiatives and meet deadlines.

  • Flexibility to quickly switch tasks, takes on special projects, accurately assess status, and devise a reasonable strategy for completion within deadlines.

  • Knowledge of the general tools and techniques of audit and risk and control Management.

  • Working knowledge of the regulatory environment that financial institutions must operate within.

  • Understanding of operational risk and control and the design and operation of appropriate controls.

  • Familiarity with the major IT internal control and security frameworks and key risk and controls in those areas.

  • Experience conducting independent analysis to determine if a suite of controls will adequately reduce inherent risk and controls to acceptable levels.

  • Proven track record of providing consistently excellent customer service.

  • Exceptional communications and presentation skills; to be able to inform and persuade both orally and in writing.

  • Negotiating, interviewing, and influencing skills.

  • Excellent problem-solving and critical-thinking skills

  • Professional curiosity, persistence, consistent attention to detail, and ability to meet deadlines.

  • Experience in the financial industry is a plus

  • Occasional travel out of state for training or specific projects may be required (less than 10%).

Yo u demonstrate these behaviors:

  • Curious : Constantly learns more about our clients, competitors, industry and the broader market to drive insights and decisions

  • Exceptional Communicator : Communicates clearly, authentically, and persuasively

  • Collaborative : Capitalizes on the diverse experience and expertise of colleagues and builds commitment around vision and priorities

  • Emotionally Mature : Demonstrates strong self‐awareness and ability to adjust to the emotion and drive of others; embraces others’ perspectives and recognizes limits of own point of view

What you’ll get:

  • Comprehensive Compensation and Benefits package

  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts

  • Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program

  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions

  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships

  • Not just a job, but a career, with an opportunity to do the best work of your life

Learn more about Life@Schwab at" .

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: None

Relevant Work Experience: IT-Other Specialty Engineering-6+ yrs

Position Located In: AZ - Phoenix

Education: BA/BS

Job Type: Full Time

Category:Information Technology

Activation Date: Tuesday, June 27, 2017

Expiration Date: Friday, September 1, 2017

Apply Here