Charles Schwab Sr Team Manager, Financial Risk, First Line Control Testing in Westlake, Texas


Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616

Toni L Pohle


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 1 st Line of Defense (LOD) is responsible for monitoring and evaluating the effectiveness of internal controls established to mitigate identified risks. These individuals exhibit a deep understanding of the LOB including applicable systems, tools, policies and procedures and are adept at identifying procedural gaps and deficiencies. The Sr Team Manager will lead and supervise a team of Financial Risk Analysts who perform the control monitoring and evaluation. This position will be an integral part of the Financial Risk Management strategy, supporting senior leadership in the planning, implementation, and execution of the internal control testing program. Qualified persons should be experienced in people management, risk mitigation, policy execution, relationship management and Financial Reporting.

What you’ll do:

  • Direct and supervise the design and successful execution of Financial Control examinations and provide strategic and proactive consultation in identifying risk exposures and developing solutions for internal control weaknesses and regulatory compliance issues

  • Ability to understand and translate SOC-1, SOC-2, SOX and other Financial Risk and Control frameworks to coordinate internal control examination processes with varying risk partners

  • Determine scope of examination, prioritization of activities and create testing schedule to complete evaluation according to planned timelines and standards set by Corporate and Regulatory standards

  • Provide final approval for work papers, testing results, and validation of all corrective actions, ensuring reports are issued in a timely manner

  • Develop and disseminate metrics reporting for senior leadership providing status updates and testing results

  • Continually evaluate the need for enhancements to the Testing Program and partner across other 2nd & 3rd Line of Defense testing/audit groups to coordinate efforts where possible

  • Train and onboard new members and working to continually improve and evolve process

  • Maintain a strong working knowledge of federal and/or state fiduciary compliance regulatory requirements applicable to the assigned areas of responsibility

  • For issues identified where controls can be enhanced to ensure compliance with firm or regulatory requirements, prepare written observations which can be incorporated into the final report identifying control gaps and supporting business leaders in control deficiency remediation activities and ensure timely completion

  • Resolve escalated issues by testing members within and across varying LOB

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

Required Competencies:

  • Bachelor’s degree required; preferably in Accounting, Finance or Business Administration

  • Eight or more years of related work experience in Financial or Accounting Control Audit, Financial Forecasting and Budgeting, Accounting, Tax, Treasury or Compliance role

  • Five or more years of people management experience

  • Strong Microsoft Office knowledge; preferably advanced Microsoft PowerPoint and Excel skills and familiarity with SharePoint and Tableau

  • Demonstrated written and oral communication skills and ability to communicate with all levels of management

  • Ability to build strong relationships and work cross functionally with internal and external constituents

  • Strong analytical skills with the ability to identify, research and weigh risk and control issues

  • Ability to work cooperatively and effectively with supporting team members to meet departmental goals

  • Strong time management, organization and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail

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

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

Preferred Competencies:

  • Series 7, 9/10 or 24 (active registration)

  • Advanced degree such as MBA, professional designation such as CPA, CIA, CFSA, CFA or other applicable financial services and/or risk management certifications a plus; Big 4 public accounting experience

  • Five or more years of financial service experience with strong understanding of FINRA and SEC rules including the Investment Advisors Act and securities industry practices

You demonstrate these behaviors:

  • Curious: Constantly learns more about our processes as well as the processes of businesses we support.

  • Results Oriented : Delivers on individual goals and visibly participates in delivering on team goals.

  • Managing Change : Seizes opportunities to influence the future direction of an organizational unit or the overall business.

  • Overcome barriers/Initiative: Proactively addresses obstacles and Identifies creative solutions.

  • Interpersonal Effectiveness : Notices and accurately interprets what others are feeling, based on their choice of words, tone of voice, expressions, and other nonverbal behavior.

  • Relationship Oriented : Thrives in an environment of strong collaboration and partnership with business partners, coworkers and managers.

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: Legal-6+ yrs, Internal Audit, Accounting and Finance-6+ yrs, Risk Analysis, Brokerage Operations-6+ yrs, Compliance

Position Located In: IL - Chicago, AZ - Phoenix, FL - Orlando, CO - Lone Tree, TX - Westlake

Education: BA/BS

Job Type: Full Time

Category:Risk Management

Activation Date: Friday, November 9, 2018

Expiration Date: Saturday, December 1, 2018

Apply Here