Charles Schwab Sr. Manager - Technology Control Auditing - TCT in Fort Worth, Texas


Fort Worth - TX, TX13601F, 13601 North Freeway, 76177

Sarah L Timms


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 Control & Engagement (C&E) Team’s objective is to streamline and mature the organization’s ability to respond to internal audits, regulatory exams, and third party reviews through the creation of compliance and remediation solutions which in turn facilitate a constant state of audit and exam readiness at Schwab.

The successful Senior Manager of the TCT Team will be responsible for leading and supporting a first line of defense risk-based testing and assessment program intended to address risks and internal controls across the Schwab environment.

What you’ll do:

The Senior Manager will manage a small team of IT security risk assessment practitioners with the responsibility for testing internal controls to identify control gaps, advance audit readiness objectives, and promote adherence to Schwab, STS, regulatory requirements, as well as industry standard common control frameworks.

You will partner with Information Security Risk Management (ISRM), Operational Risk Management (ORM), and other control groups on the coordination and execution of the SCS Risk and Control Assessment program to identify and leverage efficiencies and reduce audit and testing strain on STS staff.

You will:

  • Provide leadership and oversight for a testing team in the execution of audit, risk, and control management.

  • Balance multiple concurrent assessment projects and driving execution of those programs to mitigate risk and promote improvement of the risk and control environment.

  • Assist with the development and maintenance of the annual schedule and objectives in coordination with the Managing Director of TCT.

  • Proactively identify controls requiring attention or strengthening and work collaboratively with other Schwab disciplines to implement improvements in line with corporate standards, applicable regulations, and/or best practice frameworks.

  • Manage the development and execution of effective and efficient test plans for key Schwab controls while consistently looking to create reliance upon the testing results from other assessment groups.

  • Oversee the testing results of the testing team and provide routine periodic metrics and reporting.

  • Assist management with the development and documentation of achievable and sustainable action plans to remediate identified control weaknesses.

  • Provide risk and control management consulting services and subject matter expertise as a participant on Schwab 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.

  • Produce clear and concise risk and control reporting.

  • Recognize opportunities for automation to ensure efficiencies for the department.

  • Identify controls requiring enhancement and work collaboratively with other STS disciplines to implement improvements in line with corporate standards, applicable regulations, and/or best practice frameworks.

  • Supervise the development, refinement, and execution of various TRAC processes.

Foster communication by:

  • Developing and maintaining relationships with a broad network within STS, the Business, and other control groups.

  • Provide support to management, as necessary, during the prioritization process for risk and control mitigation activities.

  • Partner with Schwab teams to Influence change and enhance the overall control environment.

  • Participate in industry-related forums and training activities to stay current with risk and control management practices.

Engage and Develop Colleagues by:

  • Mentoring team members.

  • Working with team members to ensure that they are properly engaged and positioned to enable the supported business fulfill its strategic goals as well as maintain industry best practices.

What you have:

  • 7 or more years of relevant experience in the disciplines of information security, risk assessment activities, audit, and compliance.

  • 2-3 years of people management experience

  • Bachelor’s degree, advanced degree, or certifications preferred.

  • Ability to oversee a motivated team with appropriate risk, audit, and assessment skills and experience.

  • Knowledge of the general tools and techniques of compliance, risk and assessment.

  • Ability to understand risk and the design and operation of appropriate controls.

  • Understanding and ability to document test objectives and efficient tests of controls.

  • Familiarity with the major IT internal control and security frameworks and key risks in those areas.

  • Working knowledge of the regulatory environment that financial institutions must operate within.

  • Strong communication and interpersonal skills to convey direction from upper management regarding expectations as well as information from internal/external customers and auditors.

  • Ability to independently analyze and determine if a suite of controls will adequately reduce inherent risks to acceptable levels.

  • Persistence, curiosity, consistent attention to detail, and ability to meet deadlines.

  • Excellent personal organization and planning skills, negotiating, interviewing, and influencing skills.

  • Exceptional communications and presentation skills; to be able to inform and persuade both orally and in writing.

  • Skilled use of typical software and an ability to understand and quickly acquire the ability to utilize enterprise risk management software and Archer.

  • Strong ability to work autonomously within a distributed team setting in a dynamic 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.

  • Flexibility to quickly switch tasks, takes on special projects, accurately assess status, and devise a reasonable strategy for completion.

  • Occasional travel out of state for training or specific projects may be required (less than 10%).

You demonstrate these behaviors :

  • Innovative: Defines a compelling vision of the future, and develops breakthrough ideas, whether big or small, that support that vision

  • Talent Magnet: Seeks out and attracts strong internal and external talent

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

  • Challenger: Takes risks when the opportunity warrants it and the potential downside is understood; is no disheartened by failure but uses it as an opportunity to learn

  • 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 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. 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: IT-Other Specialty Engineering-6+ yrs

Position Located In: TX - Ft Worth, TX - Westlake

Education: BA/BS

Job Type: Full Time

Category:Information Technology

Activation Date: Thursday, May 10, 2018

Expiration Date: Saturday, August 11, 2018

Apply Here