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Charles Schwab IT Controls, Risk and Compliance Specialist in Westlake, Texas

Your Opportunity

Technology Risk & Cybersecurity Compliance (TRACC) team is responsible for providing ongoing assessment of Schwab Technology Services (STS) controls – which includes technology controls, validating issue closure for technology-related findings and remediation plans, and identifying and developing automated and self-testing efficiencies across the technology infrastructure.

Reporting to a TRACC Senior Manager, the successful Senior IT Controls Specialist will be responsible for supporting a First Line of Defense risk-based testing and assessment program intended to evaluate risks and internal controls across the STS environment.

What you are good at

  • Providing leadership as an individual contributor, and coordinate TRACC activities around risk and control assessments.

  • Balancing multiple concurrent assessment projects to mitigate risk and promote improvement of the control environment.

  • Identifying controls requiring remediation and working collaboratively with other Schwab subject areas to implement improvements.

  • Developing and executing effective and efficient processes and assessment plans for key Schwab controls.

  • Communicating results to process and control owners.

  • Assisting management with developing and documenting achievable and sustainable action plans to remediate identified control gaps.

  • Providing risk and control consulting services, and domain expertise as a participant on Schwab improvement initiatives or in response to ad hoc requests.

  • Assisting with development of clear and concise risk and control reporting.

  • Assisting with developing, refining, and executing various TRACC processes.

  • Recognizing opportunities for automation and self-testing to improve efficiency.

  • Assisting with development and dissemination of metrics reporting for senior leadership, providing status updates and assessment results.

What you have

  • 5+ years of relevant experience in the disciplines of information security, risk assessment activities, IT audit, and/or security compliance with hands on experience in compliance initiatives like PCI DSS, SOX, and SOC reporting. or 3+ years’ experience with professional services, such as Big 4 or other consulting firms

  • Knowledge and familiarity with a broad range of IT and information security products and technologies such as Identity and Access Management, Vulnerability Management, Logging and Monitoring, Application Security, and how to apply with compliance requirements

  • Ability to understand risk, design and operating effectiveness of IT controls.

  • Ability to clearly document control objectives and design efficient tests of controls.

  • Familiarity with the major IT internal control and security frameworks (NIST, FFIEC, etc.), and key risks in those areas.

  • Ability to determine whether a suite of controls will adequately reduce inherent risks to acceptable levels.

  • Persistence, curiosity, attention to detail, and ability to provide timely feedback.

  • Exceptional communication, organization and presentation skills; to be able to inform and persuade both orally and in writing.

  • Ability to work autonomously within a distributed team setting in a dynamic work environment that often requires management/completion of multiple concurrent tasks within close deadlines and high demands, with a high degree of accuracy and detail.

  • Flexibility to quickly switch tasks, take on special projects, accurately assess status, and devise a reasonable strategy for completion.

  • Familiarity with financial institutions and the regulatory environment in which they must operate.

  • Skilled use of typical software (Excel, Word, PowerPoint) and quick ramp up to utilize enterprise risk management software such as OpenPages is preferred.

  • Bachelor’s degree in related discipline required, advanced degree preferred.

  • Relevant certifications preferred (CISA, CISSP, CISM, CCSA or other risk & control disciplines)

  • Occasional travel out of state for training or specific projects may be required (less than 10%).

Colorado Compensation

Target Total Compensation - <$92,600 – $165,400>

Your actual pay will be based on your skills and experience -- talk with your recruiter to learn more.

Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.

Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further (https://content.schwab.com/web/retail/public/about-schwab/charles_schwab_recruitment_guide_2020.pdf) .

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal 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 (https://www.aboutschwab.com/EEO) to see the policy.

Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at applicantaccessibility@schwab.com or call 800-275-1281 (tel:800-275-1281) .

TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.

Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further (https://content.schwab.com/web/retail/public/about-schwab/charlesschwabrecruitmentguide2020.pdf). Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal 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 (https://www.aboutschwab.com/EEO) to see the policy. Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at applicantaccessibility@schwab.com or call 800-275-1281. TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.

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