Welcome page Returning Candidate? Log in Manager, First Line Risk Management Office Job Locations US-TX-Westlake | US-CO-Lone Tree Requisition ID 2025-107544 Posted Date 6 hours ago(2/5/2025 5:37 PM) Category Risk & Regulatory Salary Range USD $74,900.00 - $153,100.00 / Year Application deadline 2/14/2025 Position Type Full time Your Opportunity

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 RCSA Control Assurance Team (RCAT), within the First Line Risk Management Office (1RMO) is responsible for monitoring and evaluating the effectiveness of internal controls established to mitigate identified risks. These individuals exhibit a deep understanding of the line of business including applicable systems, tools, policies, and procedures and are adept at identifying procedural gaps and deficiencies. Managers will evaluate the design adequacy of the risk control in addition to the operating effectiveness. The team plays a key role within 1RMO as they test Risk and Control Self-Assessments (RCSA) over the firm’s corporate and risk management functions such as banking, finance, treasury, accounting, vendor management, and human resources.

 

A successful candidate will:

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. What you have

Required Qualifications:

Bachelor’s degree; preferably in Accounting, Finance, Business Administration; equivalent work experience can be considered in lieu of education.4-6 years of related work experience in audit, risk management, compliance or related experience; 1-2 years of control testing highly preferred.

 Preferred Qualifications:

Experience in risk mitigation and policy execution.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.Three or more years of financial service experience with strong understanding of FINRA and SEC rules including the Investment Advisors Act and securities industry practices.CPA, CIA or Series 7 license.Strong Microsoft Office knowledge; preferably advanced Microsoft PowerPoint and Excel skills and familiarity with SharePoint and Tableau.Strong time management, organization and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail.Ability to 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. Options Apply for this jobApplyShareRefer a friendRefer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed 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.   Application FAQs

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