Manager, IT Audits and SOX Compliance

About the Role
The Sarbanes-Oxley Compliance Office (SCO) performs risk assessment, scoping, testing, concluding, and results reporting for annual assessments of Internal Control over Financial Reporting (ICFR) for SOX and FDICIA, and Internal Control over Compliance (ICOC) for SEA Rule 17a-5. This Manager role supports the IT portions of the ICFR and ICOC Assessments.

Responsibilities
- Gain exposure to broker-dealer, bank, and corporate processes through robust risk assessments and control testing
- Contribute to a risk-based approach to the IT portions of Schwab's annual ICFR and ICOC assessments
- Collaborate with SCO teammates, management, Schwab's external auditor, and other testing programs
- Self-manage and lead the preparation and review of assigned assessment portions with high-quality documentation
- Partner with management to determine how to remediate identified issues and perform deficiency severity evaluations
- Provide junior team members with education, coaching, and feedback; monitor testing progress

Requirements
- 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
- Detailed knowledge of SOX requirements or Financial Responsibility Rule requirements
- SOX and Big 4 public accounting experience preferred
- Active CPA license, CISA certification, or CIA certification required within one year of starting

Benefits
- Bonus or incentive opportunities
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance