Manager – Business Process – SOX and ICOC Compliance

Manager – Business Process – SOX and ICOC Compliance

Requirements

• Bachelor’s degree in Accounting, Internal Audit, Information Systems, or Finance required
• Four or more years of related work experience in BP controls-based testing required with SOX and Big 4 public accounting experience preferred
• Active CPA license, CISA certification, or CIA certification required
• 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 BP portions of Schwab’s annual ICFR and ICOC assessments by seeking and applying understanding of Schwab’s risks and controls
• Collaborate with the SCO’s Information Technology 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 how to remediate identified issues and perform deficiency severity evaluations
• Provide more junior team members with education, coaching, and feedback, and monitor their testing progress
• Encourage, participate in, and develop 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

Preferred Qualifications

• Big 4 public accounting experience preferred