Sr. Staff - Audit & Compliance Engagement

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Job ID:
20180227-1302
Job Category:
Information Technology
Relevant Work Experience:
Internal Audit
Current Licenses / Certifications:
None
Position Located In:
TX - Westlake
Education:
BA/BS
Job Type:
Full Time
Description:

Fort Worth - TX, TX13601F, 13601 North Freeway, 76177
Christine Marie Hill
20180227-1302

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 Technology Risk & Controls (TRAC) Team is within in the Schwab Cybersecurity Services (SCS) area in the Schwab Technology Services (STS) enterprise. The TRAC Team provides management oversight for audits and regulatory examinations, risk management, and control administration and assessment activities. 

Reporting to the Senior Manager of Technology Risk and Control (TRAC) Controls & Engagement (C&E), the successful candidate will be responsible for supporting Schwab Technology Services (STS):

  • Internal and External audits,
  • Client Due Diligence activities,
  • Other Internal Control Testing,
  • Tracking control and audit issues, and
  • Support the documentation of control procedures across STS.

This senior staff, in collaboration with the Senior Manager of C&E, will also:

  • Foster an open and honest risk and controls management culture across business and technologies teams,
  • Cultivate and support an ongoing state of regulatory and audit readiness and ongoing risk reduction,
  • Coordinate with Schwab’s second line of defense organizations on the execution and maintenance of firm wide assessments and continuous monitoring of controls, and
  • Work closely with TRAC IT Risk Management to drive a holistic risk and controls program.

What you’ll do:

  • Coordinate TRAC C&E support on internal and external audits, Client Due Diligence engagements, and other risk and control assignments.
    • Manage TRAC yearly schedule and objectives in coordination with the Managing Director of C&E.
    • Identify controls 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.
    • Provide risk and control management consulting services and subject matter expertise as a participant on STS improvement initiatives or in response to ad hoc requests.
    • Creatively solve unfamiliar challenges, use personal integrity, and sound judgment, while maintaining strict confidentiality when needed, always with a strong sense of the business.
    • Supervise production of clear and concise risk and control reporting and support ad hoc management report requests.
    • Supervise the development, refinement, and execution of various TRAC processes.
  • Assist management with the development and documentation of achievable and sustainable action plans to remediate identified control weaknesses.
    • Reach out, where appropriate, to IT Management, Information Security Risk Management, Business Management, and Operational Risk Management to offer support and assistance in risk and control-related matters to ensure an open, adequate and effective risk management culture.
  • Support Client Site Visits and IT contract consultations.
    • Manage TRAC yearly schedule and objectives in coordination with the Managing Director of C&E.
    • Identify controls 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.
    • Provide risk and control management consulting services and subject matter expertise as a participant on STS improvement initiatives or in response to ad hoc requests.
    • Creatively solve unfamiliar challenges, use personal integrity, and sound judgment, while maintaining strict confidentiality when needed, always with a strong sense of the business.
    • Supervise production of clear and concise risk and control reporting and support ad hoc management report requests.
    • Supervise the development, refinement, and execution of various TRAC processes.
  • Developing and maintaining relationships with a broad network within STS and the Business
    • Provide support to management, as necessary, during the prioritization process for risk and control mitigation activities.
    • Participate in industry-related forums and training activities to stay current with risk and control management practices.
    • Support a team of professionals providing IT risk and control services across STS business units.
    • Improving employee engagement by advancing teamwork, transparency, and accountability.

What you have:

  • Five or more years of experience in audit and/or IT security related positions.
  • Strong ability to work within a distributed team setting and maintain a positive and professional composure in a work environment that often requires management/completion of multiple concurrent tasks within close deadlines and high demands, with a high degree of accuracy and detail.
  • Proactive self-starter with the ability to direct their own work flow as well as those of others.
  • Flexibility to quickly switch tasks, takes on special projects, accurately assess status, and devise a reasonable strategy for completion within deadlines.
  • Self-motivated and able to bring projects and reporting to conclusion.
  • Exceptional communication and interpersonal skills to convey direction from upper management regarding expectations as well as information from internal/external customers and auditors.
  • Knowledge of the general tools and techniques of audit and risk and control management.
  • Working knowledge of the regulatory environment that financial institutions must operate within.
  • Understanding of operational risk and control and the design and operation of appropriate controls.
  • Familiarity with the major IT internal control and security frameworks and key risk and controls in those areas.
  • Experience conducting independent analysis to determine if a suite of controls will adequately reduce inherent risk and controls to acceptable levels.
  • Proven track record of providing consistently excellent customer service.
  • Exceptional communications and presentation skills; to be able to inform and persuade both orally and in writing.
  • Professional curiosity, persistence, consistent attention to detail, and ability to meet deadlines.
  • Occasional travel out of state for training or specific projects may be required (less than 10%)

You demonstrate these behaviors:

Exceptional Communicator: Communicates clearly, authentically, and persuasively

Overcomes Barriers: Takes responsibility for addressing obstacles that hinder our people and our business

Delivers Results: Delivers positive results regardless of circumstances, utilizing the right mix of analysis, judgment, agility and urgency 

Emotionally Mature: Demonstrates strong self-awareness and ability to adjust to the emotion & drive of others; embraces others’ perspectives and recognizes limits of own point of view 

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: TX - Westlake
Education: BA/BS
Job Type: Full Time

Category:Information Technology
Activation Date: Thursday, April 5, 2018
Expiration Date: Saturday, June 30, 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.