Charles Schwab Technical Director, Process and Controls (ITIL / COBIT) in Ft. Worth, Texas


Phoenix - AZ, PHX4750A, 4750 E Francisco, 85044-5359

Rhonda Gordon


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 Technical Director of Operational Process & Controls will be a key leader on the team responsible for establishing and maintaining the Key Process and Controls program required to manage the primary functions of an IT organization. The primary responsibilities of the Operational Process & Controls Team include:

  • Establish a program that identifies and communicates the Key Operational Processes & Controls needed to manage the primary functions of the STS organization. Ensure key processes and controls effectively address important regulatory, risk, and compliance concerns and are effectively communicated across the STS organization

  • Catalog and inventory key operational processes and controls. Document and assess current controls and the control environment across the entire STS organization.

  • Assess the health of key operational processes and controls. Assess the effectiveness of existing controls, identify controls without clear ownership or that are less effective or not being followed appropriately. Identify opportunities to refine, replace or rebuild ineffective of incomplete controls.

  • Design cross-functional workflows and processes to streamline operations. Model workflows for key processes, identifying actions, resources, ownership and control points and look for opportunities to streamline processes to increase operating efficiency, while strengthening existing control environment.

  • Develop metrics to measure the effectiveness of key processes and controls and develop management insights, reporting and communication processes to ensure continuous adherence to controls

  • Leverage data, analytics and insights to drive continuous improvement in operational processes

The Technical Director will partner with STS business leaders and Schwab’s second line of defense organizations (i.e.; Operational Risk Management, Information Technology Risk Management, Operational Controls, etc.) to ensure maintain a comprehensive and effective control environment. While a robust control framework is part of an effective “1st Line of Defense” it must also promote effective and efficient technology operations that fully support the realization of Schwab’s strategic objectives. The Technical Director will also help ensure that the control framework is effectively communicated, fully understood and appropriately implemented across the STS organization.

What you’ll do:

  • Help define the overall IT control environment and control framework, including cataloging and communicating the standard control functions and processes critical to a well-managed IT environment

  • Lead control documentation and control gap analysis to assess existing controls and control processes against industry best practices

  • Lead detailed analysis of IT Service Management capabilities and processes and design process enhancements or changes to remediate identified gaps between current practices and industry best practices

  • Develop metrics, measures and reporting to assess, measure and report on the effectiveness of key processes and controls

  • Ensure that key processes and controls address all relevant regulatory concerns as well as those of internal risk management and compliance groups

  • Assess the health of key operational processes and controls and develop a process and control maturity matrix

  • Develop and implement a communication process to ensure a broad based understanding of the control framework and control effectiveness across the STS organization

  • Provide ongoing consultation to business partners on all aspects of control frameworks, including process controls, control design and control effectiveness measurement

  • Assist with IT policy, standards, practices and procedures documentation

  • Work closely with Risk Management Teams to ensure control environment remains robust, comprehensive and effective

What you have:

  • Ten years or more experience with managing teams tasked with responsibilities relevant to technology governance, technology risk identification, operational processes and controls, control frameworks,

  • Ability to build a highly motivated team with appropriate process control design, implementation and assessment, process assessment and design, technology, and technology risk management skills.

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

  • Understanding of IT internal control and service delivery frameworks, including COBIT 5, ITIL v3, as well as Agile development processes (certifications preferred)

  • Experience and understanding of distributed and mainframe processing environments

  • Knowledge and understanding of Lean and Lean IT principles and methodologies

  • Knowledge of the regulatory environment that financial institutions must operate within

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

  • Superior analytical capabilities and the ability to manage a portfolio of projects/work streams.

  • Superior communication skills, both written and verbal, as well as the ability to develop concise and effective communications tailored to specific audiences.

  • Strong influencing, coaching and mentoring skills; demonstrated success in building credibility with peers and key stakeholders (typically at a VP and SVP level) to drive action and change.

  • Strong and demonstrated team leadership (including experience in stand-up facilitation) to drive multi-discipline, multi-level teams to deliver exceptional results.

  • Demonstrated experience in leading major components of an organizational transformation initiative; including strategy, structure, methods, resources/skills, etc.

  • Prior experience in financial services including experience with Information Technology Operations and back office operations preferred.

  • Skilled use of typical software and an ability to understand and quickly acquire the ability to utilize Enterprise Risk Management and process management or workflow software and tools

  • Capacity to work the hours necessary to meet deadlines and commitments.

  • Occasional travel out of state for training or specific projects may be required (less than 15%)

You demonstrate these behaviors:

  • Exceptional Communicator : Communicates clearly, authentically, and persuasively

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

  • Relationship Oriented : Builds trusted relationships with colleagues around the firm and across multiple levels of the organization

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-Management/Technical Project Mgmt-6+ yrs

Position Located In: AZ - Phoenix, TX - Westlake

Education: BA/BS

Job Type: Full Time

Category:Information Technology

Activation Date: Wednesday, March 21, 2018

Expiration Date: Friday, June 1, 2018

Apply Here