Senior Specialist, IT ICFR and ICOC Compliance
Posted on: 28 May 2021
Lone Tree, CO
Job Description
Your Opportunity
The Sarbanes-Oxley Compliance Office (SCO) is an independent management assessment group that performs the annual assessments of management’s Internal Control over Financial Reporting (ICFR) for SOX and FDIC Part 363, and the annual assessments of management’s Internal Control over Compliance (ICOC) for Schwab’s broker-dealers. The SCO supports Schwab’s mission by testing the controls addressing the completeness and accuracy of Schwab’s financial reporting, and in turn Schwab’s financial reporting is used to acquire the capital needed for the business’s growth. In addition, the SCO tests controls addressing the protection of customer assets, which gives customers confidence to invest their assets with Schwab.
The SCO is looking for a Senior Specialist, Information Technology (IT) ICFR and ICOC Compliance, to support the ICFR and ICOC assessments. This Senior Specialist is accountable for the portions of the assessment that they are assigned to prepare, and this position reports to their Manager, IT ICFR and ICOC Compliance.
What you are good at
Support an informed and risk-based approach to the IT controls of Schwab’s annual ICFR and ICOC assessments during project management, risk assessment, scoping, testing, issue management, concluding, and results reporting
Collaborate with management, Schwab’s external auditor, and other testing groups to enhance the SCO’s and Schwab’s understanding of ICFR and ICOC
Perform and document high-quality work in accordance with team policies, methodologies, and procedures
Encourage and participate in a high-performing, engaged, and positive team environment
Improve and innovate the SCO’s assessment and operational approaches, including with automation and visualization tools
What you have
Bachelor’s degree in Accounting, Finance, Information Systems, or Information Technology required
One or more years of related work experience in IT controls-based testing required with SOX and Big 4 public accounting experience preferred
Detailed knowledge of Sarbanes-Oxley requirements and the COSO framework, or the Financial Responsibility Rule requirements
Charles Schwab
San Francisco, CA
The Charles Schwab Corporation provides a full range of brokerage, banking and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (Member SIPC), offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products. Access to Electronic Services may be limited or unavailable during periods of peak demand, market volatility, systems upgrade, maintenance, or for other reasons.
Our purpose is to champion every client's goals with passion and integrity. This purpose drives us to help our clients take ownership of their financial futures, helping people at all levels of income and every stage of life, because investing for the future is one of the most important things people can do for themselves and their families. We believe it is critical to the health of our communities and to our society.
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IndustryBanking/Financial Services
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No. of Employees19,169
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Website
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Jobs Posted1298
