Your opportunity
At Schwab, you are 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 First Line Risk Management Office (1RMO) is a centralized team of risk professionals supporting all Schwab 1st Line of Defense (1LOD) Business Units, responsible for establishing 1LOD governance guidelines to standardize processes, creating an efficient and scalable structure, and streamlining risk management activities across the 1LOD. 1RMO also facilitates the Risk Management Process across Business Units, including Risk Identification & Assessment, Risk Response, Risk Measurement & Monitoring, and Risk Reporting & Escalation.
Within 1RMO, the Governance team is responsible for elevating and focusing on governance practices across 1LOD. Key activities include Risk Governance, Policy Governance, Disclosure Management, Conflict of Interest, Product Review, and more.
Reporting to the Director of the 1RMO Governance team, the Senior Manager will support 1LOD execution of the company-wide Disclosure Management Program, improving the scalability, optimization, automation, and accountability of disclosure-related business processes.
Your responsibilities will include, but not limited to, supporting the following Disclosure Management Program activities:
- Implementation of company-wide Disclosure Management Program
- Maintain procedures for adherence to the Disclosure Management Standards
- Support the maintenance of the centralized Disclosure Fragment Glossary
- Compile and analyze disclosure related reports and usage statistics to build recurring and ad hoc disclosure reporting and metrics (i.e., Themes, Trends, and Analysis)
- Establish Cross Functional Partnerships with Disclosure Management Stakeholders
- Engage and collaborate with partnering 1LOD Business Unit disclosure delivery channels, 1RMO Governance, Disclosure Management Compliance, Technology, and other key stakeholders.
- Review 1LOD Business Unit disclosure delivery processes to assist with ensuring adherence to the Disclosure Management Standards and Operating Model execution.
- Contribute toward the creation of business requirements, design, and implementation of solutions to establish efficiencies and identify opportunities to scale and optimize disclosure management processes.
- Maintain 1LOD Enablement and Educational Training Resources
- Assist with the development of 1LOD Business disclosure delivery channel requirements and enablement journey with a mindset toward ease of doing business.
- Participate in the development and execution of rollout, implementation, communication, and training strategies to support Disclosure Management Program awareness.
- Design, develop and create 1LOD Business guided resources.
- Other 1RMO activities
- Support the Director with establishing and maintaining other 1LOD programs and projects related to risk management or governance as decided by leadership of 1RMO.
What you have
Required Qualifications
- Bachelor’s Degree or equivalent professional experience.
- 7+ years’ risk management, compliance, supervision, or disclosure management experience.
- 7+ years’ financial services, consulting, or regulatory agency experience.
- Strong understanding of retail, advisory and brokerage products/services.
Preferred Qualifications
- Active FINRA Series 7 and 24 licenses.
- Experience performing risk assessments, compliance reviews, control testing, internal audits, supervision, and/or digital delivery, deployment, and publishing activities.
- A keen interest in digital disclosure delivery and product management, related reporting/extraction tools, and learning new tools.
- Strong written and verbal communication, organization, and project management skills.
- Ability to adapt to changing business conditions and coordinate, prioritize and process substantial amounts of data/information.
- Ability to motivate stakeholders to get things done effectively and provide consultation and feedback, contributing to cross-functional partnering team initiatives.
- Ability to think creatively to enhance existing processes, create knowledge resources, and training to ensure operational excellence.
- Ability to influence and drive a vision while being mindful of stakeholder needs and requirements.
- Ability to develop business requirements for projects, reporting, technology initiatives.
- Demonstrated ability to prioritize business needs.
- Advanced knowledge of Microsoft applications.
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
