Senior Manager, Regulatory Inventory Management

6 days ago

Westlake, United States Charles Schwab 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.

The Compliance Department coordinates Schwab’s compliance efforts, and performs an advisory, monitoring, testing, and education role to support management’s supervisory responsibility and its efforts to achieve compliance with financial services rules and regulations, and policies of the Company.

We’re currently seeking a dynamic and experienced Senior Manager to join our Regulatory Inventory Management team. You’ll play a critical role in the company’s regulatory inventory management and compliance risk assessment processes. The Senior Manager is an individual contributor and will support the maintenance of a comprehensive regulatory inventory process and perform compliance risk assessment.  The Senior Manager is expected to make recommendations to enhance and refine the regulatory inventory management and compliance risk assessment programs and will remain current on regulatory developments, enterprise-wide policies, and procedures, as well as develop and foster strong partnerships across Compliance, Legal, Corporate Risk Management, and with business partners.

Responsibilities include:

  • Regulatory Inventory Management - Maintaining a comprehensive and accurate inventory of financial services regulations. Mapping regulations to relevant business lines and risk categories.  Identifying and addressing gaps in the regulatory inventory.  Proactively monitoring regulatory developments and assessing their impact. Collaborating with subject matter experts to assess the impact of regulatory changes on the firm.  Communicating regulatory updates to stakeholders across the organization.  Contributing to the development, maintenance, and enhancement of the overall regulatory inventory management program, including procedures, policies, and processes. 
  • Compliance Risk Assessment – Conducting comprehensive and ongoing assessments to identify, evaluate, and prioritize compliance risks associated with the firm’s activities.
  • Stakeholder Engagement and Communication – Building strong relationships with subject matter experts and other stakeholders. Effectively disseminating regulatory and compliance risk assessment information to diverse audiences within the firm.  Preparing clear and informative reports and presentations for various stakeholders. 
  • Technology Implementation and Innovation – Participating in the implementation and optimization of GRC tools and automation processes. Championing the adoption of new technology to improve regulatory inventory management. 
  • Regulatory and Business Knowledge – Maintaining a strong working knowledge of relevant federal and state financial regulations. Possessing a solid understanding of the firm’s business operations to ensure the regulatory inventory management program effectively supports overall compliance efforts.
What you have

Required Qualifications:

  • At least 8 years of experience within financial services ideally with a deep understanding of banking and trust businesses.
  • 5 years of experience in a compliance or similar risk management role.
  • In-depth knowledge of relevant regulations including federal and state banking, trust company and saving institutions laws, rules, and regulations.
  • Familiarity with the execution of Second Line of Defense compliance process including compliance risk management principles.

Preferred Qualifications:

  • Professional licensing and/or compliance certifications.
  • Bachelor’s degree or equivalent experience.
  • Excellent attention to detail and the ability to work independently.
  • Strong written and oral communication skills.
  • Strong time management, organization, and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail.

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

  • Senior Manager, Regulatory Inventory Management

    6 days ago

    Westlake, United States Charles Schwab 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. The Compliance Department coordinates Schwab’s compliance efforts, and performs an advisory, monitoring, testing, and education role...

  • Senior Manager, Regulatory and Supervisory Change Management

    4 weeks ago

    Westlake, United States Charles Schwab 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...

  • Senior Manager, Regulatory and Supervisory Change Management

    3 weeks ago

    Westlake, United States Charles Schwab 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...

  • Senior Manager Liquidity Governance

    2 months ago

    Westlake, United States The Charles Schwab Corporation Full time

    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. The Liquidity, Funding and Collateral Management Manager, Senior, Monitoring, Business Partner, Regulatory, Technology, Management

  • Inventory Training Lead

    7 days ago

    Westlake, Texas, United States SBM Management Full time

    Position at SBM Management SBM Management is currently looking to hire a Custodial Lead to join their team This includes the company employees and other temporary employees engaged in the program. Program could be custodial, clean room, recycle, moves, and maintenance. Assist with training employees in tasks, safety, policies, and procedures. Perform...

  • Manager Liquidity Regulatory Reporting Analyst

    2 months ago

    Westlake, United States Charles Schwab 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. The Liquidity, Funding and Collateral Management group within Treasury handles liquidity planning across the corporation and...

  • Senior Manager Liquidity Governance

    4 weeks ago

    Westlake, United States Charles Schwab Full time

    Your Opportunity We are seeking a Senior Manager to join the Liquidity Governance group to manage the end-to-end Liquidity Stress Testing program. This is an individual contributor role. This is a role where you will be able to grow your expertise through consistent challenges with the backing of passionate leaders who will value your contributions and...

  • Server/Dining Room Care Manager

    4 weeks ago

    Westlake Village, United States Sunrise Senior Living Full time

    Overview"It makes me feel good knowing that we make the residents’ lives better. We laugh with them, cry with them, sing and dance with them – we brighten their day. Working here is an unbelievable privilege and it will be something I carry with me for the rest of my life!"- Sunrise Team Member At Sunrise, our Dining Room Care Manager is responsible for...

  • Senior Account Manager

    3 weeks ago

    Westlake, United States Fidelity TalentSource LLC Full time

    Job Description: Senior Account Manager As a Senior Account Manager supporting Fidelity Health s Clients you will combine strong consultative account management skills with a deep knowledge of reimbursement account plan administration (FSA, HRA, Commuter, RMSA, LSA). Working independently you will bring our clients from post-sale implementation and...

  • Senior Account Manager

    3 weeks ago

    Westlake, United States Fidelity TalentSource LLC Full time

    Job Description: Senior Account Manager As a Senior Account Manager supporting Fidelity Health s Clients you will combine strong consultative account management skills with a deep knowledge of reimbursement account plan administration (FSA, HRA, Commuter, RMSA, LSA). Working independently you will bring our clients from post-sale implementation and...

  • Senior Account Manager

    3 weeks ago

    Westlake, United States National Black MBA Association Full time

    Job Description: Senior Account Manager As a Senior Account Manager supporting Fidelity Health’s Clients you will combine strong consultative account management skills with a deep knowledge of reimbursement account plan administration (FSA, HRA, Commuter, RMSA, LSA). Working independently you will bring our clients from post-sale implementation and...

  • Senior Account Manager

    2 months ago

    Westlake, United States Fidelity Investments Full time

    Job Description : Senior Account Manager As a Senior Account Manager supporting Fidelity Health’s Clients you will combine strong consultative account management skills with a deep knowledge of reimbursement account plan administration (FSA, HRA, Commuter, RMSA, LSA). Working independently you will bring our clients from post-sale...

  • Senior Account Manager

    3 weeks ago

    Westlake, United States Fidelity Investments Full time

    Job Description : Senior Account Manager As a Senior Account Manager supporting Fidelity Health’s Clients you will combine strong consultative account management skills with a deep knowledge of reimbursement account plan administration (FSA, HRA, Commuter, RMSA, LSA). Working independently you will bring our clients from post-sale...

  • Senior Technology Risk Manager

    3 weeks ago

    Westlake, United States Charles Schwab 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. In Schwab Cybersecurity Services (SCS), we provide a coordinated risk management strategy that supports the delivery of...

  • Senior Account Manager

    3 weeks ago

    Westlake, United States Fidelity TalentSource LLC Full time

    Job Description: Senior Account Manager As a Senior Account Manager supporting Fidelity Health s Clients you will combine strong consultative account management skills with a deep knowledge of reimbursement account plan administration (FSA, HRA, Commuter, RMSA, LSA). Working independently you will bring our clients from post-sale implementation and...

  • Senior Account Manager

    5 days ago

    Westlake, United States Fidelity TalentSource LLC Full time

    Job Description: Senior Account Manager As a Senior Account Manager supporting Fidelity Health s Clients you will combine strong consultative account management skills with a deep knowledge of reimbursement account plan administration (FSA, HRA, Commuter, RMSA, LSA). Working independently you will bring our clients from post-sale implementation and...

  • Senior Manager, Supervisory Development and Quality Assurance

    2 weeks ago

    Westlake, United States Charles Schwab 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 & Risk Management is an independent group responsible for providing supervisory support through direct...

  • Senior Manager, Fund Operations

    2 weeks ago

    Westlake, United States Fidelity TalentSource LLC Full time

    Job Description:The RoleAre you a leader with experience managing service and operations functions? Join us in the Fidelity Fund and Investment Operations (FFIO) business unit where you will lead a team of analysts in one of our operations teams! Our teams provide accounting and pricing services to all Fidelity Retail, Institutional and ETF products,...

  • Senior Compliance Manager

    5 days ago

    Westlake, United States Charles Schwab 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. In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices building client...

  • Senior Management Consultant

    3 weeks ago

    Westlake, United States Eliassen Group Full time

    Job DescriptionJob DescriptionHybrid role, applicants must be local to Westlake TX, Durham NC, Boston MA, or Salt Lake City UT. Our industry-leading financial services client is seeking a Senior Management Consultant. The Senior Management Consultant blends deep business, engineering, and design expertise while coaching, mentoring, and growing associates,...