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The Senior Specialist position will assist the department in building and maintaining an operational risk management framework that is aligned with the Corporate Operational Risk Management (ORM) Program and Policy. Activities will include supporting the ORM team with operational loss data collection and reconciliation; key risk indicator reporting and monitoring; and providing reporting and tools to the Operational Risk Liaison team in support of the framework. The Senior Specialist will assist the Center of Excellence team in seeing continuous improvement and efficiency in the operational risk processes. Additional opportunities to participate in projects will be available on an ad hoc basis. Such projects may entail documenting and analyzing risk management activities, internal control reviews and other special projects and needs of the department.
Supervision & Controls is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis and supervisory risk assessments, to Schwab’s Investor Services (retail) group. Supervision and Controls vision is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective and candid risk mentorship that is grounded in a deep understanding of business goals as well as the regulatory and industry environment.
We are looking for a Centralized Supervision Manager (“CSM”) within the Supervision & Controls Department. This position will support the Client Service and Support Organization which in turn covers the client contact centers and specialty services teams for Investor Services. This is an Individual Contributor role with no Direct Reports. Position reports to the Sr Team Manager,Supervision and Controls.
In Corporate Operational Risk, our purpose is to govern, oversee, and continually improve the operational risk program through supporting and challenging business partners and raising risk awareness and understanding to improve risk based decision making. We look to minimize operational risk impacts across all of the Firm and its subsidiaries and affiliates. We do this through fostering a risk culture consistent with the core values of the Firm of loyalty, One Schwab, operating discipline and innovation.
Reporting to the Sr. Team Manager of Operational Risk Testing, the successful candidate will primarily be responsible for testing the design and effectiveness of Operational controls across the Firm’s Risk and Control Self-Assessments (RCSAs).
This is a critical Director position within Corporate Risk Management, responsible for assessing and reporting on market and capital risk across all entities of the Charles Schwab Corporation, including Charles Schwab Bank. The position requires working with senior leadership, Treasury, Financial Planning & Analysis and various regulatory organizations to develop and communicate market and investment risk across Charles Schwab Corporation. This is an Individual Contributor role with no Direct Reports. This role reports to the Managing Director, Market Risk Management.
Advisor Services (AS) is the leading provider of custodial, trading, technology and practice management to registered independent advisory firms. We provide access to sophisticated wealth-management services that help advisors attract and retain affluent clients, as well as profitably grow, compete and succeed in their business efforts.
The Advisor Services Risk and Supervision Management (RSM) team’s purpose is to monitor and mitigate risk while providing AS with innovative services that support their growth. We conduct reviews and research in an effort to identify risk and control gaps as part of the firm’s risk control framework. RSM is committed to supporting several departments within AS and maintaining an active leadership role in identifying, developing, and representing the organization in key initiatives.
In Schwab Cybersecurity Services (SCS), Office of Chief Information Security Office, we provide platforms, services, and security operations capabilities which enable the firm to produce successful client and shareholder outcomes securely and safely. Securing our IT assets, data, and access to applications is the core of who we are and what we do. We ensure only the appropriate entities have access to IT resources.
Identity and Access Management, (IAM), has an opening for a Security Analyst. This role is responsible for administration of users and groups in the Windows Active Directory environment. Windows Administration can be conducted either directly within the Windows Environment or via an IAM Tool (Oracle OIM/OAM, Sailpoint, CA, etc.) In this role you will follow defined procedures, troubleshooting and issue resolution, and become an authority in multiple areas. In addition, this analyst will assist internal partners in developing solutions and meeting the demand of the company.
Strong information technology, security, and resilience are key components of the client experience, maintaining client trust, and are guiding principles of our Through the Clients' Eyes strategy. The proper identification, evaluation, assessment, management, and oversight of global technology, security, and resilience risk is critical to our business.
Senior Technology Risk Manager serves an important role in managing Charles Schwab’s Technology Risk Management (“TRM”) capabilities within Threat and Vulnerability Risk Management (“TVRM”) group.
As part of a second line of defense risk management function, this role will be responsible for promoting a strong risk culture while collaborating with teams and leaders throughout Charles Schwab in order to advise, supervise, and effectively challenge technology processes, risks and controls within the first line of defense, with focus on IT Asset Management and Infrastructure Vulnerability Management domains.
Responsibilities will include, but not be limited to, the following activities:
- Conducting program assessment and oversight
- Staying current on standard methodologies and developments in technology management, and setting roadmap requirements for program maturity
- Reviewing policies and standards for gaps, and conducting governance activities to ensure adherence to requirements
- Sourcing issues against control weaknesses and gaps within the areas of oversight
- Creating appropriate key risk metrics, and building processes and data structures to support reporting and advancement
- Analyzing data to identify systemic risks and discovering root causes
- Reporting of risks to appropriate audiences and responsible parties in a clear and concise manner, with supporting evidence based on data and analysis
- Conducting review of risks, controls, and issues related to technology processes as a subject matter expert to provide opinion on risk posture and gaps
- Evaluating appropriateness of risk remediation plans, and reviewing evidence to advise on suitability of closing issues
- Conducting risk evaluation related to risk acceptance requests, including researching effectiveness of mitigating controls, to advise on appropriateness of risk response
- Performing other role related responsibilities as assigned
In Corporate Operational Risk, our purpose is to govern, oversee, and continually improve the operational risk program through supporting and challenging business partners and raising risk awareness and understanding to improve risk-based decision making. We look to minimize operational risk impacts across all of the firm and its subsidiaries and affiliates. We do this through fostering a risk culture consistent with the core values of the firm of loyalty, One Schwab, operating discipline and innovation.
Reporting to the Managing Director of the Risk Exposure Discovery & Insights team, this individual contributor role will support Corporate Operational Risk by executing internal and external data monitoring processes, conducting investigative research, and applying risk management techniques to identify, quantify, and escalate potential risk concerns helping to drive effective business decisions. The incumbent will work with business partners and Operational Risk leadership to drive and maintain the culture of continuous improvement of risk management maturity through the impactful and effective challenge of business activities.
In Corporate Risk Management (CRM), our mission is to execute an independent and coordinated risk management program that supports delivery of predictable long-term financial and operational performance in order to produce successful client and shareholder outcomes. In CRM’s Technology Risk Management (TRM), we support CRM’s mission by managing information and technology risks to protect client assets, client information and firm assets.
Our TRM’s Change & Configuration Risk Management team is seeking a Technical Director. In a second line of defense capacity, you will have responsibility for implementing and executing Schwab's TRM framework. You will work in a multi-functional team in conducting effective independent risk oversight in the Change Management and Configuration Management areas.
Corporate Operational Risk Management (COR), which is within Corporate Risk Management (CRM) has a Senior Manager opportunity.
CRM provides a coordinated risk management strategy that supports delivery of predictable financial and operational performance in order to produce successful client and shareholder outcomes. The COR team is responsible for leading the management of operational risks at the Firm.
Internal Audit (IAD) provides independent and objective assessments of the efficiency of risk management activities and the internal control environment. Reporting to the IAD Managing Director Professional Practices, the Manager will join a fast growing internal audit team undergoing transformation to support the continued evolution and maturity of the internal audit function to meet regulatory expectations of a large financial institution. This role offers the opportunity to continue to evolve the internal audit methodology, expand both technical and non-technical department training, and support initiatives to improve the related processes and technology. The position will use background and experience in internal audit, training, project management, and developing business partnerships to become the go-to person to provide methodology mentorship to teams in a classroom environment, small groups, and 1:1.
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 employees' 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 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.
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to figure out whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls.
The Corporate internal audit enterprise team is seeking a Senior IT Auditor (Senior Specialist). The Corporate team is responsible for execution of audits over the firm’s corporate and risk management functions. Corporate audits cover areas such as marketing, finance, treasury, accounting, vendor management, and human resources. Risk Management audits cover areas such as compliance, credit, liquidity, market and operational risk management. The team also performs testing to confirm remediation of audit issues and regulatory issues. The Senior IT Auditor will be responsible for doing integrated audits focusing on Application Controls, automated functionality and data integrity that support business processes such as segregation of duties, configuration management, system interfaces, and data processing.
Reporting to the Managing Director or Senior Team Manager of the Corporate enterprise team, the Senior IT Auditor will have responsibility for assisting in the for the independent and objective assurance activity designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes.
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to resolve whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the effectiveness of governance processes, risk management, and internal controls.
The Bank enterprise team is seeking an Internal Audit Technology Sr. Specialist primarily responsible for executing testing on application audits for the Bank Enterprise. Application audits focus on automated functionality and data integrity that support business processes such as segregation of duties, configuration management, system interfaces, and data processing.
Reporting to a Technology Senior Team Manager within the Bank enterprise team, the Internal Audit Sr. Specialist will have responsibility for the independent and objective assurance activity designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the effectiveness of risk management, control, and governance processes. This position will focus on application technology risks within the integrated audits for the Bank enterprise, working closely with the operational auditors. The team also shares responsibility for regulatory agency interactions, Board and Executive Management reporting, and general relationship management. The Senior Specialist will have responsibility for assisting in the independent and objective assurance activities designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes as it relates to technology.
The Treasury Asset Liability Management (ALM) Strategy team is responsible for overall balance sheet management, Net Interest Revenue (NIR) forecasting, client sweep deposit modeling, investment portfolio analytics, and investment portfolio strategy (over $300 billion in portfolio assets).