Analyst, Internal Controls Testing

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Job ID:
20180102-20
Job Category:
Risk Management
Relevant Work Experience:
Financial Services-6+ yrs, Accounting and Finance-2-5 yrs, Internal Audit, Financial Services-2-5 yrs, Accounting and Finance-less than 2 yrs, Risk Analysis, Compliance
Current Licenses / Certifications:
None
Position Located In:
TX - Westlake
Education:
BA/BS
Job Type:
Full Time
Description:

Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616
Jessie M. Golden
20180102-20

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:

In Corporate Operational Risk, our purpose is to govern, oversee, and continually improve the operational risk program through supporting and challenging business partners and raising risk awareness and understanding to improve risk based decision making.  We look to minimize operational risk impacts across all of the firm and its subsidiaries and affiliates.  We do this through fostering a risk culture consistent with the core values of the firm of loyalty, One Schwab, operating discipline and innovation. 

Global Data Risk Management seeks to lead operational risk management efforts, in collaboration with the first-line Global Data organization, by providing a holistic view of data governance risk and maturity of the firm relating to how the firm handles one of our most important assets, our data.

What you’ll do:

Reporting to the Sr Manager of Operational Risk Validation & Control (ORMVC) of Charles Schwab, the successful candidate will assist in performing review and testing of data governance controls across the Firm’s Risk and Control Self-Assessments (RCSAs). Activities will include testing the effectiveness of data governance identified controls, covering all phases from planning, to execution and reporting. In addition, from time to time, activities will include review of RCSAs for consistency across all Schwab business units as it relates to data governance controls, review of control evidence, documentation of test work performed, summarization and reporting of observations noted during reviews.  This includes:

  • Perform testing of data governance identified controls, which includes planning and preparation of kickoff meetings, requesting/gathering testing evidence, assisting in performing walkthroughs, documenting audit workpapers, drafting reports and presenting findings and recommendations to appropriate business partners;
  • Conduct RCSA consistency reviews across all Schwab business units as part of the Global Data Testing Program;
  • Documents in a clear, concise and timely manner the review and test work performed, with identification of exceptions;
  • Work with appropriate individuals within Operational Risk Management as necessary to understand the parameters of the Global Data Testing with Operational Risk Liaisons (ORLs) to understand the business unit key functions and corresponding processes and activities, risks, and controls in order to review the business unit data controls and RCSA for reasonableness;
  • Works with appropriate business units to inquire about Global Data RCSA content as necessary escalates and communicates issues identified in the Global Data Control Testing Program to the Sr. Manager of ORMVC;
  • Execute testing program in accordance with procedures and methodologies supporting the Global Data Control Testing Program, including sampling techniques, quality standards, quality issue remediation and documentation requirements;
  • Make recommendations for enhancement and efficiencies;
  • QA testing as needed.

This is a summary only and duties and responsibilities may be changed from time to time, or over time.

To learn more about the culture at Charles Schwab & Co., Inc. is an equal opportunity/affirmative action employer committed to diversifying its workforce. All applications are considered without regard to race, color, religion, sex, sexual orientation, national origin, age, disability, protected veteran status (disabled veterans, recently separated veterans, active duty wartime or campaign badge veterans, Armed Forces service medal veterans), or based on any individual's status in any group or class protected by applicable federal, state or local law.chwab, click here to meet our people.  

What you have:

  • Bachelor’s degree in Finance, Accounting, Audit or a related area of study;
  • 2+ ears of experience in audit, SOX testing and/or operational risk management;
  • Familiarity with data related industry best practices as well as RCSA principles, methodologies and tools;
  • Understanding of governance principles and activity in a financial services environment;
  • Independent judgment with strong analytical, risk assessment and auditing skills;
  • Proficiency in risk and control data analysis, in particular, the ability to incorporate and understand mass information from a variety of sources to recommend a course of action;
  • Strong written and verbal communication skills with proven ability in communicating with senior staff, including executives;
  • Self-motivated along with the ability to bring projects and reporting to conclusion;
  • Strong interpersonal skills along with the ability to develop relationships with the Global Data Leadership team, RCSA approving officers, control owners, coordinators and preparers in business units, RCSA Administration and ORLs in the central risk management group.

Technical Competencies:

  • Moderate Excel skills and PowerPoint skills;
  • One to Three (1-3) years of related professional experience working with MIS, Databases, process management areas;
  • Understanding of a relational data model and experience in data extraction across multiple related objects/tables.

 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: Financial Services-6+ yrs, Accounting and Finance-2-5 yrs, Internal Audit, Financial Services-2-5 yrs, Risk Analysis, Accounting and Finance-less than 2 yrs, Compliance
Position Located In: TX - Westlake
Education: BA/BS
Job Type: Full Time

Category:Risk Management
Activation Date: Thursday, January 18, 2018
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.