Senior Manager, Compliance Risk Assessments & Oversight

Charles Schwab; Southlake (TX); On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

401(k) match

Employee stock purchase plan

Paid vacation and sabbatical after 5+ 

Parental leave and family benefits

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab seeks a Senior Manager of Compliance Risk Assessments to monitor, assess, and report on regulatory risk across the firm. You will prepare risk reports, present findings to senior leadership, and partner with SMEs to discuss risks and upcoming issues.

The role offers visibility to Committees and Business Units, and requires strong analytical and communication skills. The position emphasizes on-site collaboration in a compliant, regulated environment, with a focus on comprehensive

Qualifications

• BS/BA degree or equivalent work experience in regulatory compliance matters impacting broker-dealers/firms.
• 5+ years of compliance and/or risk management experience.
• Ability to read and analyze large quantities of reports/data and summarize trends clearly.
• Proficient attention to detail and ability to work independently.
• Ability to adapt to changing priorities, scope of work, and new ideas.
• Ability to identify regulatory risk and implement mitigation/controls.
• Professional licenses: Series 7/63/9/10/3/4/82/24 are preferred, along with CRCM/CSCP/CIA/CRP certifications.

Responsibilities

• Monitor, assess, and report on changes in compliance risk levels across Schwab’s regulatory domains.
• Prepare risk assessment reports and present findings to key stakeholders and senior leadership.
• Lead meetings with SMEs to discuss risks and upcoming issues.
• Provide an enterprise-wide view of compliance risk to Committees and Business Units.
• Develop standard and ad hoc reports for effective challenge and oversight.

Skills

Regulatory compliance knowledge

Analytical reading of reports

Attention to detail

Independent work

Adaptability

Risk assessment

Presentation skills

Education

BS/BA degree

Tools

SharePoint

Job description

Charles Schwab seeks a Senior Manager of Compliance Risk Assessments to monitor, assess, and report on regulatory risk across the firm. You will prepare risk reports, present findings to senior leadership, and partner with SMEs to discuss risks and upcoming issues.

The role offers visibility to Committees and Business Units, and requires strong analytical and communication skills. The position emphasizes on-site collaboration in a compliant, regulated environment, with a focus on comprehensive