Senior Manager, Regulatory and Supervisory Change Management

3 weeks ago

Orlando, Florida, United States Charles Schwab & Co, Inc Full time
Your opportunity

At Schwab, you're empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us "challenge the status quo" and transform the finance industry together.

Retail Supervision and Risk Management (RSRM) is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis and supervisory risk assessments, to Schwab's Investor Services (Retail) group. Retail Supervision and Risk Management's vision is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective and unbiased risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment.

Retail Supervision and Risk Management is responsible for our forward-looking "change the business" functions including business policy, supervisory training and quality assurance, supervisory program design, governance, and completing impact assessments in the event of business and regulatory changes on Schwab's Investor Services supervision programs.

The Senior Manager, Regulatory and Supervisory Change Management will be responsible for leading strategic initiatives including conducting deep dive reviews and risk assessments in support of RSRM's broader strategic transformation program. This individual contributor will have a significant impact as they conduct deep dive reviews of existing supervisory processes, procedures, risks, and controls across RSRM to identify risks, potential gaps, and opportunities to enhance supervisory controls and procedures.

What you have

Required Qualifications

  • Bachelor's Degree
  • 5-8+ years' experience in financial services, broker/dealer and/or RIA
  • Regulatory risk, legal, audit, compliance or regulatory examiner experience
  • Strong experience in analytics
  • Knowledge of rules/regulations, 3 lines of defense, supervision principles, methodologies and tools, and governance principles within the wealth management / retail brokerage industry
  • Strong knowledge of Microsoft Office tools (PowerPoint, Excel, Word, Access)

Preferred Qualifications

  • Series 7, 9/10 or 24
  • JD a plus
  • Regulatory, Compliance, Supervision, or Technology experience a plus
  • Effective critical thinking skills
  • Excellent communication skills (both written and oral)
  • Strong business acumen
  • Ability to summarize and concisely present analysis results and recommendations to inform leadership decisions
  • Demonstrated ability to execute within matrixed environments and advance timeframes
  • Ability to operate in a fast-paced environment and demonstrate sound judgment
  • Innovative, positive outlook, challenger mindset
  • High level of integrity and ethics and commitment to excellence
  • The ability to support the design and implementation of a framework that drives standardization, simplification and scalability across business lines, strengthens governance/oversight of RSRM supervisory, control and risk management activities, and promotes transparent and holistic supervisory, control and risk practices
  • The ability to demonstrate ownership and accountability and drive actionable results in alignment with our strategy
  • The ability to prioritize and maintain focus on highest risks and leadership key priorities
  • Ability to review existing controls and reporting and recommend and document suggested enhancements and/or business requirements for new supervisory tools
  • Project management experience
  • Strategic in thought, practical in approach
  • Ability to develop recommendations for short-term to long-term changes
  • Ability to develop strong and effective working relationships and establish trust with peers and leaders, internal and external business partners
  • Self-starter, comfortable operating independently, able to navigate with autonomy
  • Cross functional expertise and ability to work across functions to understand various views, recommend and influence the outcome, gain buy-in on path forward, and drive change through to implementation

What's in it for you

At Schwab, we're committed to empowering our employees' personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you'll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

  • 401(k) with company match and Employee stock purchase plan
  • Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
  • Paid parental leave and family building benefits
  • Tuition reimbursement
  • Health, dental, and vision insurance

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