Charles Schwab IT Internal Controls & SOX Compliance Manager in Lone Tree, Colorado


Lone Tree - CO, DENR3, 9800 Schwab Way, 80124

Jessie M. Golden


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 at 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 Controller's Department is looking for an IT Internal Controls & SOX Compliance Manager to provide internal control guidance and recommendations to process management, and to perform audits of the Company’s internal controls over financial reporting and internal controls over compliance. This position reports to the IT Internal Controls & SOX Compliance Team Manager.

What you’ll do:

  • Manage and distribute workload among assigned team resources

  • Work with process owners across the Company to create and update process documentation, flowcharts, and process risk assessments

  • Create and execute test plans for high-risk or high-complexity audit areas

  • Review workpapers prepared by, and provide coaching to, Senior Specialists

  • Provide testing results to process management

  • Develop recommendations to correct control deficiencies and provide ideas for process improvements

  • Prepare status reports for Corporate Controller’s management and Executive Management

  • Create management presentations for Disclosure Committee meetings

  • Partner with external auditors and other internal testing groups to minimize testing redundancy

What you have:

  • Bachelor’s degree in Accounting, Finance, Information Systems, or Information Technology required; CPA license or CISA certification preferred

  • Three to five years of related work experience in SOX, IT Audit, and/or Compliance with some Big 4 public accounting experience preferred

  • Detailed knowledge of Sarbanes-Oxley requirements and COSO framework

  • Demonstrated written and oral communication skills and ability to communicate with all levels of management

  • Ability to build strong relationships and work cross functionally with internal and external constituents

What you’ll get:

  • Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions

  • Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts

  • Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer

  • 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 at" .

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.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: Certified Information Systems Auditor - CISA, Certified Public Accountant - CPA, Certified Information Systems Security Professional - CISSP

Relevant Work Experience: Accounting and Finance-2-5 yrs, Internal Audit, Accounting and Finance-6+ yrs, Compliance

Position Located In: CO - Lone Tree, CO - Denver

Education: BA/BS

Job Type: Full Time


Activation Date: Friday, June 16, 2017

Expiration Date: Tuesday, August 1, 2017

Apply Here