Charles Schwab Business Risk & Internal Controls Analyst in Phoenix, Arizona


Phoenix - AZ, PHX4701A, 4701 E Francisco Dr, 85044-5365

Jodi Lynn Cohen


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 successful candidate will be responsible for supporting Risk and Control Self-Assessment (“RCSA”) activities, coordinating and support audit and regulatory examinations, tracking control and audit issues, and supporting Operational and IT Risk and Control Management activities. This staff member will also foster an open and honest risk and controls management culture across the CTOG (Chief Technology Officer Group) Enterprise and an ongoing state of regulatory and audit readiness and risk reduction.

What you’ll do:

  • Coordinate and support Audit, Regulatory, and Client Due Diligence engagements impacting CTOG with the Technology Risk and Controls (“TRAC”) Controls and Engagement (“C&E”) team.

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

  • Support management with the development and documentation of remediation of issues and findings opened against CTOG.

  • Support CTOG Management and TRAC Security Governance and Issue Management (“SGIM”) in their efforts to monitor, track, escalate jeopardies and report on STS remediation activities from development through implementation and sustainability testing.

  • Proactively identify controls requiring attention or strengthening; create Self-Identified Issues, and work collaboratively with other STS disciplines to implement improvements in line with corporate standards, applicable regulations, and/or best practice frameworks.

  • Maintain the Risk & Control Self-Assessment (RCSA) for CTOG, coordinating with TRAC Information Technology Risk Management (“ITRM”), Operational Risk Management (ORM), the Operational Risk Working Group (“ORWG”), and other second level oversight groups and committees.

  • Support CTOG with risk identification, mitigation, response, acceptance, and overseeing and challenging the design, implementation, and maintenance of CTOG’ processes and controls.

  • Facilitate and manage required activities assigned by Corporate Risk, Operational Risk, Enterprise Risk and Business Continuity & Incident Management.

  • Develop and maintain control procedures in support of key RCSA controls and other necessary control activities to facilitate IT Security, audit and regulatory testing.

  • Assist CTOG with risk and control management, driving execution of those programs to facilitate the identification, assessment, escalation, and mitigation of risk to ensure the continuous evaluation and improvement the risk and control environment.

  • Develop and maintain strong partnerships across CTOG Management and staff, STS Management, Information Security Risk Management, Business Management, Internal Audit, Sarbanes-Oxley Compliance, Operational Risk Management and the larger community to offer support and assistance in risk and control-related matters to ensure an open, adequate and effective risk management culture.

  • Manage responses to relevant regulatory updates including coordination with the CTOG business partners, management committees, and CTOG/STS leadership teams.

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

  • Provide risk and control management consulting services and subject matter expertise as a participant on STS improvement initiatives or in response to ad hoc requests.

  • Manage the process of assessing critical risk and controls identified by management that could impact CTOG.

  • Creatively solve unfamiliar challenges, use personal integrity, and sound judgment, while maintaining strict confidentiality when needed, always with a strong sense of the business.

  • Assist with production of clear and concise risk and control reporting and support ad hoc management report requests.

  • Provide business analysis and metrics reporting and support to the CTOG.

  • Foster communication by:

  • Developing and maintaining relationships with a broad network across STS, within CTOG and with Business and Technology Partners.

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

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

What you have:

  • Bachelor’s Degree in a technology discipline, business discipline, or equivalent experience

  • Knowledge and experience with IT risk management and use of control frameworks

  • Issue management experience (validation, mapping to controls, remediation planning, tracking and reporting)

  • Experience coordinating internal, external and regulatory audit examinations

  • Strong work ethic, positive demeanor, and drive to see projects through to successful completion

  • Assertive and proactive behaviors, with the ability to bring out the best in others

  • Experience developing, maintaining and overseeing execution against industry risk and control management frameworks (ISO, ITIL, COBIT, BASIL, NIST for example)

  • Experience synthesizing metrics and developing management reporting

  • Strong skills in oral and written communication to varying levels of management

  • Ability to work successfully with minimal direction

  • Strong skills in MS Office Suite

  • Experience with Archer eGRC, IBM OpenPages tools preferred

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, IT-Other Specialty Engineering-6+ yrs

Position Located In: AZ - Phoenix

Education: BA/BS

Job Type: Full Time

Category:Information Technology

Activation Date: Friday, May 25, 2018

Expiration Date: Saturday, September 1, 2018

Apply Here