Charles Schwab Corporation

Manager, IT SOX and ICOC Compliance

Job Locations US-CO-Lone Tree
Requisition ID
Posted Date
23 hours ago(6/3/2020 12:16 PM)
Finance & Accounting
Position Type
Full time

Your Opportunity

The Corporate Controllers Department is looking for a Manager, IT SOX and ICOC Compliance, to support the IT team in audits of the Company’s internal controls over financial reporting (ICFR) and internal controls over compliance (ICOC). This Manager is accountable for the portions of the audit that they are assigned to prepare and review, and this position reports to the Senior Manager, IT SOX and ICOC Compliance.

What you’re good at

  • Support the risk assessment, scoping, execution, concluding, reporting, issue management, and process improvement related to the IT portions of the Company’s annual ICFR and ICOC audits
  • Partner and coordinate with the SOX and ICOC process team, external auditors, management, and other testing groups to best address relevant risks to the Company, enhance the Company’s control environment, reduce redundant testing, and anticipate future team requirements
  • Demonstrate the team values, vision, objectives, and responsibilities
  • Prepare and review IT testing in accordance with team policies, methodologies, and procedures
  • Monitor the progress of more junior team members
  • Provide education, coaching, and feedback to team members
  • Communicate and implement ways to improve team engagement
  • Continue the adoption of newer audit techniques and technologies within and beyond the team, including Robotics Process Automation (RPA), Data Analytics, and Data Visualization
  • Seek out, communicate, and implement opportunities to better understand, improve, and innovate our audit approach

What you have

  • Bachelor’s degree in Accounting, Finance, Information Systems, or Information Technology required
  • Three or more years of related work experience in IT controls-based auditing required with SOX and Big 4 public accounting experience preferred
  • CPA license or CISA certification required
  • Detailed knowledge of Sarbanes-Oxley requirements and the COSO framework


Sorry the Share function is not working properly at this moment. Please refresh the page and try again later.
Share on your newsfeed

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!

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.)

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.