Senior Manager, Incoming Client Due Diligence & Risk

Charles Schwab Corporation; Lone Tree (CO); Hybrid; USD 110,000 - 160,000; Full time

Job summary

Charles Schwab Corporation is seeking a Sr. Manager, Incoming Client Due Diligence to lead complex client due diligence engagements from intake to delivery.

You will partner with Legal, Compliance, Technology, Risk, and other stakeholders to strengthen regulatory posture and vendor relationships. The role emphasizes process modernization, content governance, and scalable operations across One Schwab, with opportunities to influence program evolution while delivering accurate, timely responses to

Qualifications

• Bachelor’s degree or equivalent professional experience.
• 5+ years of experience in operational risk, vendor management, compliance, audit, financial services, or a related field, preferably in a regulated industry.
• Working knowledge of incoming due diligence, content management, risk management, third‑party oversight, and related business processes.
• Advanced proficiency with Microsoft Office.
• Demonstrated ability to serve as a trusted advisor and subject matter expert on complex requests and content management matters.
• Advanced analytical, problem‑solving, and decision‑making skills, including the ability to evaluate complex situations, balance competing priorities, and develop effective solutions.
• Excellent interpersonal, verbal, and written communication skills, with the ability to build relationships, influence stakeholders, and communicate effectively with senior leaders and external parties.
• Demonstrated ability to independently lead multiple complex projects, coordinate across diverse stakeholders, and deliver high‑quality results within established timelines and policies.
• Experience leading enterprise or cross‑functional initiatives and implementing improvements to content management, processes, policies, reporting, automation, or operations.
• Ability to identify opportunities to modernize and scale processes, improve service delivery, and enhance operational efficiency through continuous improvement and data‑driven decision‑making.
• Experience analyzing metrics, trends, risks, and feedback to support program enhancements, operational effectiveness, and positive business outcomes.

Responsibilities

• Lead complex and high‑profile client due diligence requests from intake through delivery, balancing quality, consistency, and responsiveness.
• Collaborate on regulatory inquiries, RFP responses, contract negotiation reviews, and remediation efforts.
• Serve as a trusted advisor on due diligence processes, SIG questionnaires, SOC reports, cybersecurity inquiries, risk documentation, and content interpretation, providing clear guidance to business partners and team members.
• Lead large‑scale due diligence projects and content attestation initiatives, including annual attestation activities, documentation maintenance, and deliverables involving multiple stakeholders.
• Build strong partnerships across key business units and with Legal, Compliance, Technology, and Risk to resolve issues efficiently and support business objectives.
• Apply sound judgment, analytical thinking, and deep functional expertise to evaluate complex situations, recommend practical solutions, and drive successful outcomes.
• Govern the lifecycle of due diligence content, including response accuracy, documentation integrity, version control, and adherence to established standards and processes.
• Identify opportunities to modernize, automate, and scale team processes, tools, and content management practices while maintaining a consistent client experience.
• Analyze metrics, trends, risks, and recurring client requests to improve service delivery, content quality, and program effectiveness.
• Monitor evolving industry trends, regulatory developments, and stakeholder expectations to anticipate potential impacts and strengthen program agility.
• Share best practices, contribute to cross‑functional initiatives, and represent the team in key forums.

Skills

Vendor risk management

Due diligence

Regulatory compliance

Stakeholder management

Process improvement

Risk assessment

Analytical thinking

Communication skills

Education

Bachelor's degree or equivalent professional experience

Tools

CoPilot

Adobe PDF

DocuSign

Microsoft Office

Job description

Charles Schwab Corporation is seeking a Sr. Manager, Incoming Client Due Diligence to lead complex client due diligence engagements from intake to delivery.

You will partner with Legal, Compliance, Technology, Risk, and other stakeholders to strengthen regulatory posture and vendor relationships. The role emphasizes process modernization, content governance, and scalable operations across One Schwab, with opportunities to influence program evolution while delivering accurate, timely responses to