Charles Schwab Sr Specialist, Internal Controls Testing in Lone Tree, Colorado


Lone Tree - CO, DENR2, 9800 Schwab Way, 80124

Pamela Ferrell


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:

In Corporate Operational Risk, our purpose is to govern, oversee, and continually improve the operational risk program through supporting and challenging business partners and raising risk awareness and understanding to improve risk based decision making. We look to minimize operational risk impacts across all of the Firm and its subsidiaries and affiliates. We do this through fostering a risk culture consistent with the core values of the Firm of loyalty, One Schwab, operating discipline and innovation.

Global Data Risk Management seeks to lead operational risk management efforts, in collaboration with the first-line Global Data organization, by providing a holistic view of the data governance risk and maturity of the Firm, relating to how the Firm handles one of our most important assets; our data.

What you’ll do:

Reporting to the Sr. Team Manager of Operational Risk Management Validation & Control (ORMVC), the successful candidate will primarily be responsible for testing the design and effectiveness of data governance controls across the Firm’s Risk and Control Self-Assessments (RCSAs). In addition, candidate should possess the ability to review RCSAs as a whole for consistency across all Schwab business units.

All phases of testing, from planning to issue management, are in scope. Responsibilities include but are not limited to the following:

  • Planning and preparation of kickoff meetings, requesting/gathering testing evidence

  • Assist in performing Control Design Walkthroughs; prepare documentation ,and meeting minute, as necessary

  • Evaluate the effectiveness of controls in place to mitigate identified risk; review evidence, document testing results in a comprehensive and organized manner

  • Documenting the review and test work performed, with identification of exceptions, in a clear, concise and timely manner

  • Make recommendations for enhancement and efficiencies

  • Assist in drafting reports and presenting findings and recommendations to appropriate business partners

  • Perform Peer Reviews and Quality Assurance (QA) testing of files and reports as needed

  • Exercise sound judgment to influence a strong risk management culture across business practices

  • Create and maintain collaborative relationships with our risk teams, business partners and support partners

This is a summary only and duties and responsibilities may be changed from time to time, or over time.

What you have:

The ideal candidate will possess the following qualifications

  • Bachelor’s degree in Finance, Accounting, Audit, Technology or a related area of study;

  • 3+ years of experience in audit, SOX testing, compliance testing, QA and/or operational risk management; experience testing data and or technology related controls is preferred

  • Familiarity with data related industry best practices as well as RCSA principles, methodologies and tools

  • Understanding of governance principles and activity in a financial services environment

  • Independent judgment with strong analytical, risk assessment and auditing skills

  • Ability to analyze large amount of information/data in order to recommend a course of action

  • Strong written and verbal communication skills with proven ability in communicating with senior staff, including executives

  • Self-motivated along with the ability to bring projects and reporting to conclusion

  • Strong interpersonal skills

  • Proficiency in Microsoft excel and PowerPoint skills required

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. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab's hiring decisions. All other submissions should be performed online.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: None

Relevant Work Experience: Internal Audit, Compliance

Position Located In: CO - Lone Tree, TX - Westlake

Education: BA/BS

Job Type: Full Time

Category:Risk Management

Activation Date: Thursday, May 17, 2018

Expiration Date: Sunday, July 1, 2018

Apply Here