IT SOX & ICFR Compliance Manager — Hybrid

Charles Schwab; Lone Tree (CO); Hybrid; USD 125,000 - 160,000; Full time

Job summary

Charles Schwab in Lone Tree, Colorado, is seeking a Manager to support IT portions of ICFR and ICOC assessments. This individual contributor role reports to a Senior Team Manager, IT Audits and SOX Compliance, and requires commuting distance to participate in Schwab’s Hybrid Work and Flexibility Program.

The role emphasizes testing IT controls for SOX compliance, collaborating with cross-functional teams, and guiding junior staff within a flexible hybrid work environment.

Qualifications

• Bachelor’s degree in Accounting, Internal Audit, Information Systems, or Information Technology is required.
• Four or more years of IT controls-based testing experience required with SOX; Big 4 public accounting experience preferred.
• Active CPA license, CISA certification, or CIA certification required within one year of starting.
• Detailed knowledge of SOX requirements or the Financial Responsibility Rule requirements.

Responsibilities

• 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 IT portions of Schwab’s annual ICFR and ICOC assessments by understanding Schwab’s risks and controls.
• Collaborate with the SCO’s Business Process and Integrated control teammates, management, Schwab’s external auditor, and other Schwab testing programs to enhance Schwab’s control environment.
• Self-manage and lead the preparation and review of assigned assessment portions, including documenting high-quality work in accordance with team policies, standards, and procedures.
• Partner with management to determine remediation approaches and perform deficiency severity evaluations.
• Provide coaching and feedback to junior team members and monitor testing progress.
• Foster a high performing, engaged, and positive team environment.
• Grow your career on a team with regular feedback conversations and opportunities to improve SCO’s assessment and use of AI, automation, and data visualization tools.

Skills

IT controls testing

SOX compliance

Risk assessment

Mentoring/coaching

Education

Bachelor’s degree in Accounting, Internal Audit, Information Systems, or Information Technology

Job description

Charles Schwab in Lone Tree, Colorado, is seeking a Manager to support IT portions of ICFR and ICOC assessments. This individual contributor role reports to a Senior Team Manager, IT Audits and SOX Compliance, and requires commuting distance to participate in Schwab’s Hybrid Work and Flexibility Program.

The role emphasizes testing IT controls for SOX compliance, collaborating with cross-functional teams, and guiding junior staff within a flexible hybrid work environment.