Senior Specialist, Business Process Audits & SOX Compliance
Company: Charles Schwab
Location: Sedalia
Posted on: February 26, 2026
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Job Description:
At Schwab, you’re empowered to make an impact on your career.
Here, innovative thought meets creative problem solving, helping us
“challenge the status quo” and transform the finance industry
together. The Sarbanes-Oxley Compliance Office (SCO) performs risk
assessment, scoping, testing, concluding, and results reporting for
the annual assessments of management’s Internal Control over
Financial Reporting (ICFR) for SOX and FDICIA, and for the annual
assessment of management’s Internal Control over Compliance (ICOC)
for SEA Rule 17a-5. The SCO supports Schwab’s mission by assessing
controls addressing the completeness and accuracy of Schwab’s
financial reporting, and Schwab’s financial reporting is used to
secure financing so the company can meet the needs of our clients.
In addition, the SCO assesses ICOC addressing the protection of
client assets, which gives clients comfort to invest their assets
with Schwab. The SCO is looking for a Senior Specialist to support
the Business Process (BP) portions of the ICFR and ICOC
Assessments. This Senior Specialist will be accountable for the
portions of the assessments that they are assigned to prepare, and
this position reports to a Team Manager, BP Audits and SOX
Compliance. This position is located in Lone Tree, Colorado, and
candidates must be within commuting distance of their assigned
location within a reasonable period after starting in the role to
enable participation in Schwab’s Hybrid Work & Flexibility Program.
What you have • Bachelor’s degree in Accounting, Internal Audit,
Information Systems, or Finance required • Two or more years of
related work experience in BP controls-based testing required with
SOX and Big 4 public accounting experience preferred • Knowledge of
SOX requirements or the Financial Responsibility Rule requirements
What youll do: • Gain exposure to broker-dealer, bank, and
corporate processes through robust risk assessments, varied ongoing
control testing, and unique project assessments • Contribute to a
risk-based approach to the BP portions of Schwab’s annual ICFR and
ICOC assessments by seeking and applying understanding of Schwab’s
risks and controls • Collaborate with management, Schwab’s external
auditor, and other Schwab testing programs to enhance Schwab’s
control environment • Self-manage and lead the preparation of
assigned assessment portions, including documenting high-quality
work in accordance with team policies, standards, and procedures •
Encourage and participate in a high performing, engaged, and
positive team environment • Grow your career on a supportive team
that holds weekly supervisor one-on-ones, regular skip-level
one-on-ones, and quarterly formal feedback conversations • Improve
and innovate the SCO’s assessment and operational approaches,
including with automation and data visualization tools
Keywords: Charles Schwab, Castle Rock , Senior Specialist, Business Process Audits & SOX Compliance, Accounting, Auditing , Sedalia, Colorado
