Business Risk Management Analyst
Data and Rep Technology (DaRT) is part of the larger STS organization and delivers innovative capabilities for our client-facing representatives, effective contact tools for client interactions, and rich business insight through robust and well-governed, enterprise data integration. DaRT’s vision is to enable competitive advantage by capitalizing on Schwab’s data assets. The Business Risk and Internal Control team provides visibility for Audit, Risk and Controls activities.
The Business Risk Internal Control (BRIC) position supports Technology Risk and Control (TRAC) in managing and maintaining the internal controls for DaRT with adherence to Schwab policy, regulatory requirements, and industry standards that are in alignment with common IT risk and control frameworks. These responsibilities include oversight and maintenance of technology risk programs, risk analysis and quantification, supporting TRAC engagement activities for audits, drafting and maintaining control procedures, and assisting TRAC in issue management, security governance, and management reporting.
The BRIC role will also support coordination with Schwab’s second line of defense organizations (i.e. Operational Risk, Information Security Risk, and Technology Risk) on the execution and maintenance of firm wide assessments and continuous monitoring of controls.
What you are good at
- Coordinate and support TRAC on internal Audit, Regulatory, and Client Due Diligence engagements.
- Assist management with the development and documentation of achievable and sustainable action plans to remediate identified control weaknesses.
- Support issue management activities within DaRT by providing feedback on Issue dashboards and reports, answering general questions about the issue management process and tools, and escalating remediation problems due to poor health, lack of visibility, or poor quality.
- Supporting TRAC with risk identification, mitigation, response, acceptance, and overseeing and challenging the design, implementation, and maintenance of STS’ processes and controls. Facilitating and managing required activities assigned by Corporate Risk (Operational Risk, Enterprise Risk and Business Continuity and Incident Management).
- 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 other risk management organizations.
- Develop and maintain control procedures in support of key RCSA and other necessary control activities to facilitate audit and regulatory testing.
What you have
- Understanding of risk mitigation, and the design and operation of appropriate controls.
- Familiarity with the major IT internal control and security frameworks and key risks in those areas.
- Professional curiosity with the ability to respectfully question the status quo.
- Persistence, consistent attention to detail, and ability to meet deadlines.
- Self-motivation; able to bring projects and reporting to conclusion.
- Experience learning new subject matter to become fluent in the details.
- 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. Explore further.
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 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 firstname.lastname@example.org 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.