Business Risk and Internal Controls

USD $71,600 - $146,500 / Year

Full Time

    Job Description

    Your Opportunity

    The Business Risk Internal Control (BRIC) position will be responsible for supporting Data and Rep Technology (DaRT) in managing and maintaining the internal controls for their organization within Schwab Technology Services (STS) with adherence to Schwab policy, regulatory requirements, and industry standards that are in alignment with common IT risk and control frameworks. These responsibilities include the ongoing support of IT Risk Management (ITRM) oversight and maintenance of technology risk programs, risk analysis and supporting DaRT activities for audits and regulatory exams, drafting and maintaining control procedures to support RCSA controls and assisting with issue management and management reporting.

    The BRIC will also support Schwab's second line of defense organizations (i.e. Enterprise Risk Management - ERM) on the execution and maintenance of firm wide assessments and continuous monitoring of controls, specifically for their organization within STS.

    What you are good at

    • Support DaRT on Internal Audits, Second Line of Defense (2LOD) Assessments
    • Assist DaRT management with the development and documentation of achievable and sustainable action plans to remediate identified issues and control weaknesses
    • Support issue management activities by answering general questions about the issue management process and tools, acquiring necessary approvals, and escalating remediation problems and developing and distributing issues reporting
    • Supporting risk identification, mitigation, response, acceptance, and overseeing and challenging the design, implementation, and maintenance of DaRT processes and controls. Facilitating and managing required activities assigned by Enterprise Risk
    • Offer support and assistance in risk and control-related matters to ensure an open, adequate and effective risk management culture
    • Proactively identify areas requiring attention or strengthening and work collaboratively with other STS disciplines to implement improvements in line with corporate standards, applicable regulations, and/or best practice frameworks
    • Maintain the appropriate Risk & Control Self Assessments (RCSAs) for DaRT coordinating with ERM
    • Develop and maintain control procedures in support of key RCSA and other necessary control activities to facilitate audit and regulatory testing

    What you have

    • 3-5 years with internal audits and business risk experience
    • Ability to understand risk and the design and operation of appropriate controls
    • Familiarity with the major IT internal control and security frameworks and key risks in those areas
    • Knowledge of the regulatory environment that financial institutions must operate within
    • Professional curiosity with the ability to question the status quo
    • Persistence, consistent attention to detail, and ability to meet deadlines
    • Self-motivation; able to bring projects and reporting to conclusion
    • Skilled use of typical software and an ability to understand and acquire the ability to utilize Enterprise Risk Management software

    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.

    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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