Manager, IT Audits and SOX Compliance
Your Opportunity
Your opportunity
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
The Sarbanes-Oxley Compliance Office (SCO) performs risk assessment, scoping, testing, concluding, and results reporting for the annual assessments of management’s Internal Control over Financial Reporting (ICFR) for SOX and FDICIA, and for the annual assessment of management’s Internal Control over Compliance (ICOC) for SEA Rule 17a-5. The SCO supports Schwab’s mission by assessing controls addressing the completeness and accuracy of Schwab’s financial reporting, and Schwab’s financial reporting is used to secure financing so the company can meet the needs of our clients. In addition, the SCO assesses ICOC addressing the protection of client assets, which gives clients comfort to invest their assets with Schwab.
The SCO is looking for a Manager to support the Information Technology (IT) portions of the ICFR and ICOC Assessments. This Manager will be accountable for the portions of the assessments that they are assigned to prepare and review, and this position reports to a Senior Team Manager, IT Audits and SOX Compliance. This is an individual contributor role. This position is located in Lone Tree, Colorado, and candidates must be within commuting distance of their assigned location within a reasonable period after starting in the role to enable participation in Schwab’s Hybrid Work & Flexibility Program.
What you have
Bachelor’s degree in Accounting, Internal Audit, Information Systems, or Information Technology required
Four or more years of related work experience in IT controls-based testing required with SOX and Big 4 public accounting experience preferred
Active CPA license, CISA certification, or CIA certification required within one year of starting
Detailed knowledge of SOX requirements or the Financial Responsibility Rule requirements
What you'll do:
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 IT 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 Business Process 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
In addition to the salary range, this position is also eligible for bonus or incentive opportunities.
What’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
What you are good at
What you have
Bachelor’s degree in Accounting, Internal Audit, Information Systems, or Information Technology required
Four or more years of related work experience in IT controls-based testing required with SOX and Big 4 public accounting experience preferred
Active CPA license, CISA certification, or CIA certification required within one year of starting
Detailed knowledge of SOX requirements or the Financial Responsibility Rule requirements
What you'll do:
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 IT 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 Business Process 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
In addition to the salary range, this position is also eligible for bonus or incentive opportunities.
Why Schwab?
At Schwab, “Own Your Tomorrow” embodies everything we do! We are committed to helping our employees unleash their potential and achieve their dreams. Our employees get to play a central role in disrupting a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. We’re a modern financial services firm that stands apart from the industry, where you can go as far as your ambition takes you.
Hear from employees: What’s it like to work at Schwab!
The benefits of working at Schwab : a package designed to empower your health, wealth, career and life. Schwab is committed to building a diverse and inclusive workplace where everyone feels valued.
As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. (Please click here to see policy.)
Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace. We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.