Senior Manager, Compliance Risk Assessments

Charles Schwab Corporation; Southlake (TX); On-site; USD 150,000 - 190,000; Full time

Job summary

Charles Schwab Corporation seeks a Senior Manager to lead Compliance Risk Assessments, monitor risk levels, and report findings to senior leadership. The role requires strong regulatory knowledge and collaboration with SMEs to ensure effective risk mitigation across broker-dealer, futures, and related markets.

The position is on-site in a regulated environment, with a focus on delivering timely risk insights and governance for Schwab's compliance program.

Qualifications

• BS/BA degree or equivalent in regulatory compliance matters impacting broker-dealers, futures commission merchants, or introducing brokers.
• 5+ years of compliance and/or risk management experience.
• Ability to read and analyze large quantities of reports/data and pinpoint trends.
• Proficient attention to detail and ability to work independently.
• Ability to adapt to changing circumstances and priorities.

Responsibilities

• Lead and manage Compliance Risk Assessments to identify areas of significant regulatory risk.
• Prepare risk assessment reports and present findings to stakeholders and senior leadership.
• Collaborate with Subject Matter Experts to discuss key risks and mitigation controls.
• Develop standard and ad hoc reports for Committees and Business Units.

Skills

Regulatory compliance

Risk management

Data analysis

Presentation skills

Education

Bachelor's degree in regulatory compliance

Tools

SharePoint

Job description

Charles Schwab Corporation seeks a Senior Manager to lead Compliance Risk Assessments, monitor risk levels, and report findings to senior leadership. The role requires strong regulatory knowledge and collaboration with SMEs to ensure effective risk mitigation across broker-dealer, futures, and related markets.

The position is on-site in a regulated environment, with a focus on delivering timely risk insights and governance for Schwab's compliance program.