Senior Specialist, IT Audits and SOX Compliance
The Sarbanes-Oxley Compliance Office (SCO) performs risk assessment, scoping, testing, concluding, and results reporting for the annual assessments of management’s Internal Control over Financial Reporting (ICFR) for SOX and FDICIA, and the annual assessments of management’s Internal Control over Compliance (ICOC) for SEA Rule 17a-5. The SCO supports Schwab’s mission by assessing controls addressing the completeness and accuracy of Schwab’s financial reporting, and Schwab’s financial reporting is used to secure financing so the company can meet the needs of our clients. In addition, the SCO assesses ICOC addressing the protection of client assets, which gives clients comfort to invest their assets with Schwab.
The SCO is looking for a Senior Specialist to support the Information Technology (IT) portions of the ICFR and ICOC Assessments. This Senior Specialist will be accountable for the portions of the assessments that they are assigned to prepare, and this position reports to a Team Manager, IT Audits and SOX Compliance. This position is located in Lone Tree, Colorado, and candidates must be within commuting distance of that location within a reasonable period after starting in the role.
Workplace Flexibility Program: We're proud to support our employees in a working approach that allows you to bring your best self to work.
- Employees have the flexibility for a hybrid schedule, where they divide their time between working remotely or in the office.*
- Employees and managers can discuss additional flexibility options based on their role, business needs, and individual circumstances.
*Subject to change. Schwab is continually evaluating its approach to ensuring the safety and well-being of our employees
What you are good at
- Support a risk-based approach to the IT portions of Schwab’s annual ICFR and ICOC assessments by seeking and applying understanding of Schwab’s risks and controls
- Collaborate with management, Schwab’s external auditor, and other Schwab testing programs to enhance the ICFR and ICOC environments
- Self-manage and lead the preparation of assigned assessment portions, including documenting high-quality work in accordance with team policies, standards, 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 data 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
- Knowledge of SOX requirements or the Financial Responsibility Rule requirements
In addition to the salary range, this role is also eligible for bonus or incentive opportunities.
Why work for us?
Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.
Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future.
TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.