Sr. Manager, Digital Services Risk Management Testing and Audit Support

Charles Schwab   •  

Austin, TX

Industry: Accounting, Finance & Insurance


8 - 10 years

Posted 54 days ago

Our Opportunity:

Charles Schwab Digital Services (DS) is responsible for delivering innovative, best-in-class solutions. We are obsessed with solving customer needs. We want every interaction to be simple and easy. We collaborate with user experience and design, business and technology partners across the enterprise to build software experiences our users’ are passionate about. Our mission is to significantly advance Schwab’s digital and data capabilities to drive firm growth, client loyalty, and operating leverage.

The Senior Manager, Digital Services Audit and Testing Support, will play a critical role in the supporting testing and examination by 1st, 2nd, and 3rd lines of defense. This is a first line risk management function that will partner across the Digital enterprise.

What you’ll do:

Positioned in the first line of defense to ensure the overall effectiveness of risk and compliance management programs, risk analytics and operations in the business. This role will partner and collaborate with Compliance and Operational Risk Management, as well as Business Operations, IT, Internal Audit, and Regulators, to supportrisk and compliance based initiatives. You will be responsible for ensuring adherence to the governance of the established risk framework and ongoing supervision of business controls including risk and control self-assessments, identification and evaluation of control effectiveness, identifying control failures, facilitating risk and compliance remediation, regulatory exams, and monitoring the first line of defense in an effort to minimize risk exposures and strengthen the overall control environment. Responsibilities will also include leveraging risk assessment data, and identifying key data-driven insights tied to the first line of defense.

Responsibilities include:

  • Testing,Audit, and Exam Program
    • Capture changes to the Audit and Exam process(es), methodology, and guiding principles
    • Create, access and update workflow diagrams for Audit and Exam process(es)
    • Formalize Digital Services Audit and Exam Program and ensure alignment with the parent Regulatory Management program
    • Establish process and cadence for audit and exam readiness activities
    • Develop workflow to streamline Audit and Exam procedures
    • Enhance program dashboard, scorecard, and metrics associated with reporting program performance related to Audit and Exam work to senior management
    • Mature and enhance Audit and Exam Tracking system
  • Testing,Audits, and Exams
    • Prepare story decks that crisply and effectively relay the story on the requested topic(s) of the various elements Digital Services program covers
    • Respond to audit and regulatory inquiries
    • Gather, review and format artifacts requested by auditors and regulators
    • Monitor and maintain the Audit and Exam Tracking system to ensure responses are accurate and timely
  • Other Essential Duties include:
    • Assist Managing Director with special projects, analysis and problem solving
    • Build strong relationships and partner with various departments across Banking and Trust Services, Risk Groups, Legal
    • Participate and provide leadership in projects as needed
    • Sr. Manager Testing and Audit Support position carries no supervisory responsibilities.

What you have:

  • Bachelor's degreepreferred
  • Experience working in a highly regulated environment and interfacing with regulators and auditors
  • Preferably 7+ years of experience in an IT, Project Management, Operational Risk Management, Compliance, and/or IT auditing role
  • Strong Microsoft Office knowledge; preferably advanced Microsoft PowerPoint and Excel skills and familiarity with SharePoint and Tableau
  • 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

You Demonstrate These Behaviors:

  • Curious: Constantly learns more about our processes as well as the processes of businesses we support.
  • Results Oriented: Delivers on individual goals and visibly participates in delivering on team goals.
  • Managing Change: Seizes opportunities to influence the future direction of an organizational unit or the overall business.
  • Overcome barriers/Initiative: Proactively addresses obstacles and Identifies creative solutions.
  • Interpersonal Effectiveness: Notices and accurately interprets what others are feeling, based on their choice of words, tone of voice, expressions, and other nonverbal behavior.
  • Relationship Oriented: Thrives in an environment of strong collaboration and partnership with business partners, coworkers and managers.
  • 20181219-7729