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Charles Schwab Manager, Incoming Due Diligence - Corporate Vendor Management in Lone Tree, Colorado

Your Opportunity

Corporate Vendor Management (CVM) at Charles Schwab & Co. is responsible for implementing a firm-wide, end-to-end vendor relationship management process to maximize vendor performance and value. CVM identifies, mitigates, monitors, and handles vendor risk; and assists Schwab in meeting regulatory and compliance requirements.

What you are good at

Charles Schwab & Co. is a vendor, as well, providing services such as retirement planning, 401k administration, equity award administration, and much more to other corporations. Incoming Due Diligence (IDD) is a function within CVM that responds on behalf of all business units to due diligence requests from those corporate clients in a way that facilitates fast, accurate, and vetted responses. IDD also assists business units with client calls and onsite audits to help them obtain answers, artifacts, and referrals to the right teams within Schwab that will meet with auditors.

This individual will work with the Senior Team Manager, Incoming Due Diligence, to provide responses to incoming due diligence requests and assist in improving efficiencies of the IDD function, including: maintaining and improving functional processes, procedures and policies, tools, and a reporting framework. Travel may be required (around 10%). This individual will also assist the Senior Team Manager with coordinating all information request responses with each respective Schwab Business Unit when the companies to which they provide services request due diligence information. The individual will act as the Point of Contact for research and gather supporting documentation needed to complete the due diligence information. This will include completing Shared Assessments Program Standard Information Gathering (SIG) Questionnaires; Service Organization Control Reports (SOC 1, 2, and 3); and other forms of due diligence as necessary. The role will also help to maintain a knowledge base.

What you have

  • Excellent verbal and written communication skills and a proven track record of building effective working relationships with internal and external business partners;

  • Ability to work independently, prioritize and lead multiple projects and succeed in a fast-paced, full workload environment;

  • Attention to detail and a passion for customer service;

  • 3+ years of experience in operational risk, risk oversight or vendor management, preferably in a regulated industry, is required;

  • Specific working knowledge of SIGs, and SOC reports is preferred;

  • Knowledge of basic Vendor Management concepts and processes is required;

  • Advanced knowledge with Microsoft Excel and PowerPoint is required;

  • Bachelor’s degree or equivalent;

  • Prior experience with managing or querying simple database programs (e.g. SQL or Access), Archer, Hiperos, or any other

  • Vendor Management Program Software is preferred;

  • Knowledge of internal controls, financial/banking regulations, and risk assessment/risk mitigation processes preferred;

  • Internal or external audit experience is a plus.

  • Knowledge of basic Information Technology terms, concepts, and processes is a plus.

  • Data analytics and reporting experience is a plus.

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 (https://content.schwab.com/web/retail/public/about-schwab/charles_schwab_recruitment_guide_2020.pdf) .

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 (https://www.aboutschwab.com/EEO) 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 applicantaccessibility@schwab.com or call 800-275-1281 (tel: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.

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 (https://content.schwab.com/web/retail/public/about-schwab/charlesschwabrecruitmentguide2020.pdf). 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 (https://www.aboutschwab.com/EEO) 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 applicantaccessibility@schwab.com 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.

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