Pay range: USD $90,000.00 - $200,100.00 / Year
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 is an independent group responsible for providing delegated review of control and risk mitigation functions to Schwab's Investor Services. The vision of Retail Supervision & Risk Management 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.
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The Senior Manager, Supervisory Risk Management will focus on regulatory risk management and control issues for the Investor Services/ Retail group. This role will involve risk identification, control testing support, and issue management across multiple governance groups (1st Line of Defense Testing, Operational, Third Party, Audit, Compliance). Additionally, the Senior Manager will oversee the creation, review, and management of disclosure content to ensure accuracy, compliance, and clarity. They will be responsible for understanding and implementing disclosure management change processes, ensuring effective communication with the public processes and approvals, and maintaining a comprehensive disclosure inventory. The role will also involve utilizing tools that support version control, content management, and deployment.
This is a complex role that requires a candidate with considerable industry, supervisory, and risk/control knowledge.
What you have
Required Qualifications:
- 6-10 years relevant financial services experience, including broker-dealer and retail experience.
- 5+ years supervisory, risk, audit, control, or compliance experience in a similar financial service industry.
Preferred Qualifications:
- Series 7 and other licenses (willingness to obtain).
- Strong communication, influencing, and presentation skills.
- Highly effective organizational and time management skills.
- The ability to work on multiple projects and prioritize based on regulatory risk and business needs.
- Experienced in risk identification, control testing support and issue management across multiple governance groups (Ex: 1st Line of Defense, Operational Risk, Third Party, Audit and Compliance).
- Ability to collaborate with all levels within the Schwab organization to analyze risk, control and related issues
- Track record of providing sound guidance to business partners and peers.
- Ability to respond to changes in the business and/or regulatory environment by actively recommending changes to existing policies and procedures.
- Ability to respond to findings and remediation plans as appropriate and track through to completion. This includes experience in risk and control type tools (GRC tools).
- Strong attention to detail and the ability to identify core and root cause of gaps and weaknesses.
- Experience in managing and implementing disclosure content, ensuring compliance with regulatory requirements and maintaining high standards of accuracy and clarity.
- Understanding of disclosure management change processes and communication with the public processes and approvals.
- Experience with or understand of concepts related to disclosure risk management.
- Proficiency with tools that support disclosure version control, content management, and deployment.
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