Charles Schwab · 22 hours ago
Sr. Specialist, Business Process Audits & SOX Compliance
Lone Tree, CO
Full-time
Hybrid
Mid, Senior Level
2+ years expCharles Schwab is a company that empowers individuals to make an impact on their careers while transforming the finance industry. The Senior Specialist will support the Business Process portions of the ICFR and ICOC Assessments, ensuring high-quality documentation and collaboration with management and external auditors to enhance Schwab’s control environment.
Financial Services
Responsibilities
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 BP portions of Schwab’s annual ICFR and ICOC assessments by seeking and applying understanding of Schwab’s risks and controls
Collaborate with management, Schwab’s external auditor, and other Schwab testing programs to enhance Schwab’s control environment
Self-manage and lead the preparation of assigned assessment portions, including documenting high-quality work in accordance with team policies, standards, and procedures
Encourage and participate in 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
Qualification
Required
Bachelor's degree in Accounting, Internal Audit, Information Systems, or Finance required
Two or more years of related work experience in BP controls-based testing required
Knowledge of SOX requirements or the Financial Responsibility Rule requirements
Preferred
SOX and Big 4 public accounting experience preferred
Benefits
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
Company
Charles Schwab
We have plans for every turn you take.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
J
Jim McGreevy
Senior Project Manager
Recent News
2025-10-04
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