Charles Schwab Internal Control Relationship Manager- Stock Plan Services in Lone Tree, Colorado


Lone Tree - CO, DENR1, 9800 Schwab Way, 80124

Christina Antoinette Peyer


We believe that , when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

Schwab Stock Plan Services (SPS) provides a variety of solutions to large, publicly traded companies for the administration of their Equity Compensation plans, including stock options, restricted stock, and employee stock purchase programs. SPS offers solutions for the administration of these plans up to and including full outsourcing capabilities for the recordkeeping and employee services. Our mission is to provide a world class experience for our clients and to provide the opportunity for the employees of our corporate clients to achieve their financial goals.

Stock Plan Services is looking for a self-motivated individual to provide operational support to the various SPS Teams. This individual will be responsible for various functions which could include Settlement Reconciliation. This person will work closely with other internal members of the SPS group to ensure that service level agreements are being maintained. They will be responsible for high quality of work while adhering to compliance standards in an ever changing business environment.

What you’ll do:

The Internal Control Relationship Manager will act as a liaison to one or more SPS business functions, driving improved risk and governance processes, facilitating client risk issue resolution, and performing internal control assessments and control validations. This role will require excellent verbal and written communication skills strong analytical skills, and the ability to build strong relationships with numerous business partners across the entire organization.

Responsibilities include but are not limited to:

  • Provide leadership for business risk and control related matters, acting as the main point of contact for client related risk issues.

  • Develop and recommend risk mitigation strategies, and coordinate the implementation of those strategies throughout the business.

  • Provide consultation, facilitation and analytical support to ensure internal controls are properly implemented to provide flawless client service and compliance with regulatory obligations.

  • Proactively identify control weaknesses and work with management to remediate issues.

  • Collaborate with management to create, sustain and strengthen the internal control framework through risk and control identification and control design and implementation.

  • Participate in special projects and performs other duties as assigned.

What you have:

  • An undergraduate degree in Business or equivalent experience required.

  • Minimum five years internal control, auditing and/or project management experience. Experience with SOC 1 and/or SOC 2 field work preferred.

  • Industry experience related to equity compensation recordkeeping, operations and/or investment management services preferred.

  • Strong client focus (internal and external), an understanding of client needs and workflow, and an ability to communicate these needs to internal partners including Schwab senior management and external clients and/or auditors.

  • Strong mediation skills - must have the ability to weigh multiple stakeholder perspectives, escalate issues, and partner with manager to drive timely and effective decision-making

  • Solid business acumen, attention to detail, flexibility, and judgment to evaluate issues/problems of high complexity and make sound decisions.

  • Series 7, 9/10 or 24 not required but a plus

What you'll get:

  • Comprehensive Compensation and Benefits package.

  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts.

  • Work/Life Balance: Paid Parental Leave, New Mothers returning to work Program, Tuition reimbursement, Time off to volunteer, Employee Matching Gifts Program.

  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions.

  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships.

  • Not just a job, but a career, with an opportunity to do the best work of your life.

Charles Schwab & Co., Inc. is an equal opportunity/affirmative action employer committed to diversifying its workforce. All applications are considered without regard to race, color, religion, sex, sexual orientation, national origin, age, disability, protected veteran status (disabled veterans, recently separated veterans, active duty wartime or campaign badge veterans, Armed Forces service medal veterans), or based on any individual’s status in any group or class protected by applicable federal, state or local law.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: FINRA Series 24, FINRA Series 10, FINRA Series 7, FINRA Series 9

Relevant Work Experience: Financial Services-6+ yrs, Customer Service-6+ yrs, Customer Service-2-5 yrs, Accounting and Finance-2-5 yrs, Brokerage Operations-2-5 yrs, Internal Audit, Accounting and Finance-6+ yrs, Financial Services-2-5 yrs, Brokerage Operations-6+ yrs

Position Located In: CO - Lone Tree

Education: BA/BS

Job Type: Full Time

Category:Stock Plan Services

Activation Date: Wednesday, July 26, 2017

Expiration Date: Sunday, August 13, 2017

Apply Here