Senior Specialist, IT Audits and SOX Compliance

Charles Schwab; Lone Tree (CO); Hybrid; USD 90,000 - 120,000; Full time

Benefits offered by this job

401(k) match

Employee stock purchase plan

Vacation and sabbatical after years of

Parental leave and family benefits

Tuition reimbursement

Health, dental, and vision insurance

Hybrid work flexibility

Job summary

Charles Schwab in Lone Tree, Colorado is seeking a Senior Specialist to support the IT portions of ICFR and ICOC assessments. This 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.

Two+ years in IT controls-based testing with SOX and Big 4 experience are preferred. Join a collaborative team that drives risk assessments across broker-dealer, bank, and corporate processes.

Qualifications

• Bachelor’s degree required plus two+ years in IT controls-based testing with SOX and Big 4 experience preferred.
• Knowledge of SOX requirements or Financial Responsibility Rule requirements.

Responsibilities

• Gain exposure to broker-dealer, bank, and corporate processes through risk assessments and control testing.
• Contribute to risk-based IT portions of ICFR and ICOC assessments by understanding Schwab’s risks and controls.
• Collaborate with management, external auditors, and Schwab testing programs to strengthen the control environment.
• Self-manage and lead preparation of assigned assessment portions, producing high-quality work.
• Support a high-performing, engaged team environment and participate in feedback cycles.
• Assist in improving SCO’s assessment approaches, including AI, automation, and data visualization tools.

Skills

IT controls testing

SOX knowledge

Big 4 experience preferred

Education

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

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 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

• 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'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 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.

What’s in it for you

At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

• 401(k) with company match and Employee stock purchase plan
• Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
• Paid parental leave and family building benefits
• Tuition reimbursement
• Health, dental, and vision insurance