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Charles Schwab Senior Manager, Operational Risk Testing in Phoenix, Arizona

Your Opportunity

Reporting to the Vice President, Operational Risk Testing, the successful candidate will primarily be responsible for testing the Firm’s processes, standards adherence, performing thematic reviews as well as testing design and effectiveness of controls across the Firm’s Risk and Control Self-Assessments (RCSAs). This role will be assigned testing projects quarterly across different topics/business units including the following risk disciplines: operational, data, fraud, technology, and third-party. This role is an individual contributor but may manage team members on scheduled testing projects.

What you are good at

All phases of testing, from planning to issue management, are in scope. This role will be accountable for:

  • Owning the completion of the thematic, standards and control testing executing high quality reviews. Focus on higher risk rated or more complex reviews.

  • Develop scope and plan for complex thematic reviews with little supervision

  • Ability to meet deadlines, adapt to change quickly, and manage multiple tasks and projects.

  • Oversight/mentoring of team members and leading joint reviews, issue validations, or special projects. Escalates staff performance issues timely to the Team Leadership.

  • Thorough understanding of regulatory expectations in the execution of testing, issue validation, and the response to regulatory inquiries and ability to challenge both the 2 LoD governance framework in addition to 1LoD execution

  • Producing high quality (i.e., without error, minimal coaching notes) testing execution activities and documentation in accordance with department procedures and Firm wide testing standards.

  • Cultivating strong working relationships with internal peers and internal lines of business. Build credibility and trust with stakeholders.

  • Maintaining and enhancing skills through on-going education and training to support company needs.

  • Preparing/reviewing work papers that clearly articulate the context and testing performed.

  • Staying current on industry and regulatory issues/best practices and shares knowledge with team.

  • Demonstrating continued understanding and knowledge of the business to appropriately apply to risk and control environment in reviews and decision making.

  • Demonstrating an understanding and knowledge of Schwab’s strategy, vision, and guiding principles and how it connects to respective programs/projects tested

  • Solving problems on own, as well as handling crises swiftly and effectively.

This is a summary only and duties and responsibilities may be changed from time to time, or over time.

What you have

  • Bachelor’s degree in Finance, Accounting, Audit, Technology or a related area of study;

  • 5+ years of experience in audit, SOX testing, compliance testing, QA and/or operational risk management

  • Strong understanding of risks and internal controls and the ability to evaluate and determine the adequacy and effectiveness of controls, governance frameworks and process reviews.

  • Clear understanding of financial services, regulatory compliance, business acumen, and testing standards.

  • Applies strong understanding of business and industry and fundamental testing skills in execution of project execution (Plan, Analyze, Develop, Execute test and Report)

  • Understanding of governance principles and activity in a financial services environment

  • Independent judgment with strong analytical, risk assessment and auditing skills

  • Ability to analyze large amount of information/data in order to recommend a course of action

  • Ability to present complex issues to management with little to no support from Directors/Managing Directors.

  • Ability to manage multiple reviews concurrently in an efficient and effective manner with little to no supervision.

  • Applies process analysis, business intelligence and problem solving techniques.

  • Strong written and verbal communication skills with proven ability in communicating with senior staff, including executives

  • Self-motivated along with the ability to bring projects and reporting to conclusion

  • Proficiency in Microsoft Excel and PowerPoint skills required

Why Schwab?

At Schwab, “Own Your Tomorrow” embodies everything we do! We are committed to helping our employees unleash their potential and achieve their dreams. Our employees get to play a central role in disrupting a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. We’re a modern financial services firm that stands apart from the industry, where you can go as far as your ambition takes you.

Hear from employees:What’s it like to work at Schwab! (https://www.youtube.com/playlist?list=PLctx2TLOKMwZnPckh7rG7OgcEzFCGeDob)

The benefits of working at Schwab : a package designed to empower your health, wealth, career and life.

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued.

As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law.(Please click here to see policy.) (https://www.aboutschwab.com/EEO)

Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace.

We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.

Apply for this job (https://career-schwab.icims.com/jobs/67499/senior-manager%2c-operational-risk-testing/job?mode=apply&apply=yes&in_iframe=1&hashed=-1834478876)

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Why Schwab?

At Schwab, “Own Your Tomorrow” embodies everything we do! We are committed to helping our employees unleash their potential and achieve their dreams. Our employees get to play a central role in disrupting a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. We’re a modern financial services firm that stands apart from the industry, where you can go as far as your ambition takes you.

Hear from employees:What’s it like to work at Schwab! (https://www.youtube.com/playlist?list=PLctx2TLOKMwZnPckh7rG7OgcEzFCGeDob)

The benefits of working at Schwab : a package designed to empower your health, wealth, career and life.

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued.

The posted salary range describes the minimum to maximum range for this job description in the state of Colorado. The salary range is posted in accordance with the Colorado Equal Pay for Equal Work Act. The salary range for this same position may be lower or higher in markets outside of Colorado.

As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law.(Please click here to see policy.) (https://www.aboutschwab.com/EEO)

Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace.

We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.

Job Locations US-CO-Lone Tree | US-TX-Austin | US-AZ-Phoenix | US-TX-Westlake

Requisition ID 2021-67499

Posted Date 1 month ago (2/2/2021 10:14 AM)

Category Risk & Regulatory

CO Salary Range 92,600 - 165,400

Position Type Full time

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