Sr. Specialist, Business Process Audits & SOX Compliance

Charles Schwab Corporation; Saskatchewan; On-site; CAD 70,000 - 90,000; Full time

Job summary

A leading financial services company is seeking a Senior Specialist to assist with Internal Control assessments. This position emphasizes risk assessment and compliance testing within a collaborative environment, focusing on the accuracy of financial reporting and client asset protection. This role offers the opportunity to contribute to enhancements in compliance processes and engage in professional development, all within a supportive team structure.

Qualifications

• Requires a Bachelor's degree with focus on Accounting, Audit, Systems, or Finance.
• 2+ years in BP controls-based testing, with Big 4 experience preferred.
• Knowledge of SOX requirements essential.

Responsibilities

• Support the Business Process portions of ICFR and ICOC Assessments.
• Collaborate with management and external auditors to improve control environment.
• Lead preparation of assigned assessment portions.

Skills

Risk Assessment

Internal Controls

Compliance Testing

Financial Reporting

Education

Bachelor’s degree in Accounting

Bachelor’s degree in Internal Audit

Bachelor’s degree in Information Systems

Bachelor’s degree in Finance

Job description

Your Opportunity

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.

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 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 Business Process (BP) 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, BP Audits and SOX Compliance. This position is located in Lone Tree, Colorado, and candidates must be within commuting distance of their assigned location within a reasonable period after starting in the role to enable participation in Schwab’s Hybrid Work & Flexibility Program.

What you have

• Bachelor’s degree in Accounting, Internal Audit, Information Systems, or Finance required
• Two or more years of related work experience in BP 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'll 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 to the BP 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 quarterly formal feedback conversations
• Improve and innovate the SCO’s assessment and operational approaches, including with automation and data visualization tools

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