Senior Specialist, IT Audits and SOX Compliance

Your Opportunity

Schwab remains committed to providing increased visibility to career growth opportunities and job requirements. This posting announcement is part of increased transparency and while all qualified applicants will be reviewed and considered, this organization has a preferred candidate identified for this role.

At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.

We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location.

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 for the annual assessment 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 capital 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 responsible for the portions of the assessments that they are
assigned to prepare, and this position reports to a Senior Team Manager, IT Audits and SOX Compliance. This
position is located in Lone Tree, Colorado, and candidates must be within commuting distance of the Schwab
location within a reasonable period after starting in the role to enable participation in Schwab’s Hybrid Work
and Flexibility Program.

What you have

To ensure that we have fulfilled our promise of "challenging the status quo," this role has specific qualifications that successful candidates should have.

Required Qualifications

• Bachelor’s degree in Accounting, Internal Audit, Information Systems, or Information Technology required
• Two 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
What you will do:
• Gain exposure to broker-dealer, bank, and corporate processes through robust risk assessments, varied
ongoing control testing, and unique project assessments
• Contribute to a risk-based approach for 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
Schwab’s control environment
• 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
• Grow your career on a supportive team that holds weekly supervisor one-on-ones, regular skip-level one-
on-ones, and triannual formal feedback conversations
• Improve and innovate the SCO’s assessment and operational approaches, including the use of artificial
intelligence, automation, and data visualization tools

In addition to the salary range, this role is also eligible for bonus or incentive opportunities