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Your Opportunity
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 bring 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 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 dedicated, innovative and driven people who believe they can help themselves, and our clients, create a better future.Our Opportunity:The 1st Line of Defense (LOD) risk team is responsible for monitoring and evaluating the effectiveness of internal controls established to mitigate identified risks. These individuals exhibit a deep understanding of the LOB including applicable systems, tools, policies and procedures and are adept at identifying procedural gaps and deficiencies. Risk Analysts will evaluate the design adequacy of the internal control in addition to the operating effectiveness. Qualified persons should be experienced in risk mitigation, policy execution and relationship management.Workplace Flexibility Program : We're proud to support our employees in a working approach that allows you to bring your best self to work - whether that's in the office or remote.· Most Schwabbies have the opportunity to voluntarily work in the office or at home based on their preference.· When the firm is ready to fully return to the office, employees will have the flexibility of a hybrid work environment, spending some time working remote and some time in the office.· Employees and managers can discuss and decide what works best for them, with additional flexibility available based on their role, business needs, and individual circumstances.Subject to change as Schwab is continually evaluating the current environment in order to best care for the safety and well-being of our employees.What you are good atWhat you'll do:- Participate in the design and successful execution of internal control examinations and provide strategic and proactive consultation in identifying risk exposures and developing solutions for weaknesses and regulatory compliance issues
- Understand scope of examination and prioritize examination activities to adhere to testing schedule and complete evaluation according to planned timelines and standards set by Corporate and Regulatory standards
- Evaluate the effectiveness of controls in place to mitigate identified risk; review evidence, document testing results in a comprehensive and organized manner; develop recommendations to correct deficiencies and provide ideas for process improvements
- For issues identified where controls can be enhanced to ensure compliance with firm or regulatory requirements, support business partners and senior leadership by monitoring action plans to ensure root cause of control deficiencies are resolved in a timely manner
- Maintain a strong working knowledge of federal and/or state fiduciary compliance regulatory requirements applicable to the assigned areas of the review
- Bachelor's degree; preferably in Accounting, Finance, Business Administration; equivalent work experience can be considered in lieu of education
- 7-8 years of related work experience in audit, risk management or compliance; 5-6 years of control testing highly preferred
- Ability to lead testing engagements with two or more juniors; build strong business partner relationships; demonstrated training and coaching skills
- Demonstrated written and oral communication skills and ability to communicate with all levels of management
- Ability to build strong relationships and work cross functionally with internal and external constituents
- Strong analytical skills with the ability to identify, research and weigh risk and control issues
- Ability to work cooperatively and effectively with supporting team members to meet departmental goals
- Strong time management, organization and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail
- Exercise sound judgment to influence a strong risk management culture across business practices
- Self-motivated along with the ability to bring projects and reporting to conclusion
- Strong Microsoft Office knowledge; preferably advanced Microsoft PowerPoint and Excel skills and familiarity with SharePoint and Tableau
- 3+ years of financial service experience with strong understanding of FINRA and SEC rules including the Investment Advisors Act and securities industry practices
- CISA, CISSP, CIA, or Series 7 (active registration)