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 that enhance supervisory controls and procedures within the Retail Supervision and Risk Management (RSRM) group. This role involves conducting deep dive reviews and risk assessments to identify risks and opportunities for improvement, thereby supporting the broader strategic transformation program of RSRM. The position requires a strong understanding of regulatory frameworks and the ability to drive actionable results aligned with the company's strategy.

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 that drives standardization and scalability across business lines.
• Develop recommendations for short-term to long-term changes in supervisory practices.
• Review existing controls and reporting, recommending enhancements or new business requirements for supervisory tools.
• Establish strong working relationships with peers and leaders to drive change.

Requirements

• Bachelor's Degree
• 5-8+ years' experience in financial services, broker/dealer and/or RIA
• Experience in regulatory risk, legal, audit, compliance or as a regulatory examiner
• 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
• Ability to operate in a fast-paced environment and demonstrate sound judgment
• Innovative, positive outlook, challenger mindset

Benefits

• Health insurance
• 401k plan
• Paid holidays
• Flexible scheduling
• Professional development opportunities