Charles Schwab Senior Staff – TRAC Internal Control Testing in Phoenix, Arizona


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

Christine Marie Hill


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:

Reporting to the Managing Director of the TRAC Technology Control Testing (TCT) Team, the successful Senior Staff of the TCA Team will be responsible for supporting a first line of defense risk-based testing and assessment program intended to evaluate risks and internal controls across the Schwab environment. The Senior Staff will operate within a team of IT security risk assessment practitioners with the responsibility for testing internal controls to identify control gaps, reduce risk, advance audit readiness objectives, and promote adherence to Schwab and STS policies and standards, regulatory requirements, as well as industry standard common control frameworks. The Senior Staff of the TCT Team will work closely with Information Security Risk Management (ISRM), Operational Risk Management (ORM), and other control groups on the coordination and execution of the SCS Risk and Control Assessment program to identify and leverage efficiencies and reduce audit and testing strain on STS staff.

What you’ll do:

  • Provide leadership and coordinate TRAC TCT support in the execution of audit, risk, and control management.

  • Balance multiple concurrent assessment projects and driving execution of those programs to mitigate risk and promote improvement of the risk and control environment.

  • Assist in the proactive identification of controls requiring attention or strengthening and working collaboratively with other Schwab disciplines to implement improvements in line with corporate standards, applicable regulations, and/or best practice frameworks.

  • Support the development and execution of effective and efficient processes test plans for key Schwab controls while consistently looking to create reliance upon the testing results from other assessment groups.

  • Communicate the testing results to process management.

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

  • Provide risk and control management consulting services and subject matter expertise as a participant on Schwab 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.

  • Assist with the production of clear and concise risk and control reporting.

  • Support ad hoc management requests, as required.

  • Recognize opportunities for automation to help ensure efficiencies for the department.

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

  • Assist with the development, refinement, and execution of various TRAC processes.

Foster communication by:

  • Developing and maintaining relationships with a broad network within STS, the Business, and other control groups.

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

  • Partner with Schwab teams to Influence change and enhance the overall control environment.

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

  • Support a team of professionals providing IT risk and control services across Schwab business units.

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

Engage and Develop Colleagues by:

  • Being engaged with the TRAC TCT team and across other TRAC Teams.

  • Maintaining engagement to enable the supported business to fulfill its strategic goals as well as maintain industry best practices.

  • Supporting the development of the TRAC TCT team and assist in the recruitment of colleagues.

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

What you have:

  • Five or more years of relevant experience in the disciplines of information security, risk assessment activities, audit, and compliance.

  • Bachelor’s degree, advanced degree, or certifications preferred.

  • Knowledge of the general tools and techniques of compliance, risk and assessment.

  • Ability to understand risk and the design and operation of appropriate controls.

  • Understanding and ability to document test objectives and efficient tests of controls.

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

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

  • Strong communication and interpersonal skills to convey direction from upper management regarding expectations as well as information from internal/external customers and auditors.

  • Ability to independently analyze and determine if a suite of controls will adequately reduce inherent risks to acceptable levels.

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

  • Proven ability and confidence to communicate with management.

  • Excellent personal organization and planning skills, negotiating, interviewing, and influencing skills.

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

  • Skilled use of typical software and an ability to understand and quickly acquire the ability to utilize enterprise risk management software, OpenPages and Archer.

  • Strong ability to work autonomously within a distributed team setting in a dynamic 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.

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

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

You demonstrate these behaviors:

Exceptional Communicator: Communicates clearly, authentically, and persuasively

Overcomes Barriers: Takes responsibility for addressing obstacles that hinder our people and our business

Delivers Results: Delivers positive results regardless of circumstances, utilizing the right mix of analysis, judgment, agility and urgency

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

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: IT-Other Specialty Engineering-6+ yrs

Position Located In: TX - Westlake

Education: BA/BS

Job Type: Full Time

Category:Information Technology

Activation Date: Friday, April 6, 2018

Expiration Date: Saturday, June 30, 2018

Apply Here