Sr. Business Risk and Internal Controls

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Job ID:
20171011-5229
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Internal Audit
Current Licenses / Certifications:
None
Position Located In:
TX - Austin, AZ - Phoenix, CO - Lone Tree
Education:
BA/BS
Job Type:
Full Time
Description:

Lone Tree - CO, DENR3, 9800 Schwab Way, 80124
Rhonda Gordon
20171011-5229

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

The Business Risk Internal Control (BRIC) position will be responsible for supporting Technology Risk and Control (TRAC) in managing and maintaining the Internal Controls for Schwab Technology Services (STS) with adherence to Schwab policy, regulatory requirements, and industry standards that are in alignment with common IT risk and control frameworks. These responsibilities include the ongoing support of TRAC IT Risk Management (ITRM) oversight and maintenance of technology risk programs, risk analysis and quantification, supporting TRAC Controls and Engagement (C&E) engagement activities for audits and regulatory exams, drafting and maintaining control procedures to support RCSA controls and assisting TRAC Security Governance and Issue Management (SGIM) in issue management and management reporting. The BRIC will also coordinate with Schwab’s second line of defense organizations (i.e. Operational Risk Management - ORM, Information Technology Risk Management – ISRM, Technology Risk and Controls - TRAC, etc.) on the execution and maintenance of firm wide assessments and continuous monitoring of controls, specifically for STS. The BRIC will also be a member of the STS Risk Operations Working Group (ORWG) and work closely with TRAC ITRM to drive a holistic risk and controls program.

What you’ll do:

  • Assist in the support of TRAC C&E on internal Audit, Regulatory, and Client Due Diligence engagements in support of the Technology Infrastructure Services (TIS) organization.
  • Assist C&E and management with the development and documentation of achievable and sustainable action plans to remediate identified control weaknesses.
  • Assist in the support of TRAC Security Governance and Issue Management (SGIM) monitor and track remediation activities from development through implementation and sustainability testing.
  • Offer assistance in risk and control-related matters to ensure an open, adequate and effective risk management culture.
  • Proactively identify areas requiring attention or strengthening and work collaboratively with other STS disciplines to implement improvements in line with corporate standards, applicable regulations, and/or best practice frameworks.
  • Assist in the develop and maintenance of  control procedures in support of key RCSA and other necessary control activities to facilitate audit and regulatory testing.
  • Assist in aspects of audit and assessments as it pertains to TIS in particular.

What you have:

 

In depth knowledge of the areas you support including SMEs and operational processes. Ability to understand risk and the design and operation of appropriate controls. Familiarity with the major IT internal control and security frameworks and key risks in those areas. Knowledge of the regulatory environment that financial institutions must operate within. Professional curiosity with the ability to question the status quo. Persistence, consistent attention to detail, and ability to meet deadlines. Self-motivation; able to bring projects and reporting to conclusion Skilled use of typical software and an ability to understand and acquire the ability to utilize Enterprise Risk Management software and Archer.

 

 

You demonstrate these behaviors:

  • Purpose Driven - Make decisions that are aligned with "Through Clients' Eyes" philosophy
  • Curious - Constantly learns mora bot our clients, competitors, industry and the broader marekt to dreiv insights and decisions
  • Innovative - Defines a compelling vision of the future, and develops breakthrough ideas, whether big or small, that support that vision

What you’ll get:

  • Comprehensive Compensation and Benefits package
  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
  • Not just a job, but a career, with an opportunity to do the best work of your life

 

Learn more about Life@Schwab.


Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab's hiring decisions. All other submissions should be performed online.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Internal Audit
Position Located In: CO - Denver
Education: BA/BS
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Friday, December 15, 2017
Expiration Date: Thursday, March 1, 2018
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Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.

At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab’s hiring decisions. All other submissions should be performed online.

The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC , offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products.