Senior Regulatory Operations Manager

2 weeks ago

Austin, Texas, United States Charles Schwab Full time
Your Role

At Charles Schwab, you are given the opportunity to influence your career trajectory. Here, innovative thinking meets creative problem-solving, allowing us to redefine the finance sector collaboratively.

The mission of the Regulatory Liaison Office (RLO) is to foster an informed, efficient, and effective regulatory engagement strategy by acting as a central hub for all regulatory risk issues. The vision of the RLO is to serve as a reliable intermediary between Schwab's business units and regulatory bodies, promoting clarity, communication, and credibility to support Schwab's initiatives in helping clients Own Their Tomorrow.

The Regulatory Operations Team is tasked with providing operational and logistical support for regulatory functions, regular reporting of regulatory status to key stakeholders and senior management, communicating updates on regulatory matters, and driving enhancements in processes.

The Senior Manager, Regulatory Operations will possess a broad understanding of regulatory and risk management, capable of translating complex information and guidance into high-level communications.

Key Responsibilities:
  • Continuously enhance management reporting, analytics, and metrics related to regulatory issues.
  • Create executive-level communications that clearly articulate regulatory status and updates.
  • Monitor and summarize regulatory changes relevant to Schwab.
  • Oversee multiple applications that support the functions within the RLO.
What You Bring

To uphold our commitment to challenging the status quo, this role requires specific qualifications that successful candidates should possess:

Required Qualifications:
  • Bachelor's degree or equivalent experience.
  • Over 5 years of regulatory experience with a prudential financial regulator.
  • Experience in developing executive and board-level reporting.
  • Outstanding oral and written communication abilities.
Preferred Qualifications:
  • General understanding of regulatory examination frameworks, regulatory laws, supervisory guidance, and effective risk management practices as they pertain to large financial institutions.
  • Strong quantitative skills and expertise.
  • Robust background in efficient data analysis, review, reporting, and preparing interpretive presentations of data.
  • Advanced skills in Excel, PowerPoint, and Word (including formulas, charts, exporting/importing, data validation, etc.); experience with Tableau is a plus.

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