Senior Manager, Regulatory and Supervisory Change Management

$87,800 - $195,200/Yr

Charles Schwab - Westlake, TX

Full-time - Mid Level

Westlake, TX

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

The Senior Manager, Regulatory and Supervisory Change Management at Schwab is responsible for leading strategic initiatives within the Retail Supervision and Risk Management (RSRM) group. This role involves conducting deep dive reviews and risk assessments to enhance supervisory controls and procedures, ensuring effective risk management and compliance within the financial services sector. The position requires a strong analytical background and the ability to navigate complex regulatory environments while promoting business growth through effective risk management practices.

Responsibilities

• Lead strategic initiatives in support of RSRM's transformation program.
• Conduct deep dive reviews of existing supervisory processes, procedures, risks, and controls.
• Identify risks, potential gaps, and opportunities to enhance supervisory controls and procedures.
• Support the design and implementation of a framework for standardization and scalability across business lines.
• Develop recommendations for short-term to long-term changes in supervisory practices.
• Summarize and present analysis results and recommendations to inform leadership decisions.
• Build strong working relationships with peers and leaders, both internally and externally.

Requirements

• 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)

Nice-to-haves

• 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
• Project management experience
• Strategic in thought, practical in approach

Benefits

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