Sr. Manager, Incoming Client Due Diligence

Charles Schwab; Lone Tree (CO); Hybrid; USD 120,000 - 180,000; Full time

Benefits offered by this job

401(k) with company match

Paid time off and sabbatical

Parental leave and family benefits

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab in Lone Tree, Colorado is seeking a Sr. Manager, Incoming Client Due Diligence to lead complex due diligence engagements from intake to delivery across Legal, Compliance, Technology, Risk and Vendor Management.

This role focuses on modernizing processes, content governance, and scaling operations while collaborating with senior leaders to strengthen client trust and regulatory compliance.

Qualifications

• Bachelor’s degree or equivalent professional experience.
• 5+ years in operational risk, vendor management, compliance, audit, financial services, or related fields.
• Working knowledge of incoming due diligence, content management, risk management, third‑party oversight, and related processes.
• Advanced proficiency with Microsoft Office.
• Ability to serve as trusted advisor on complex requests and content management.
• Analytical, problem‑solving, and decision‑making skills with complex scenarios.
• Excellent interpersonal, verbal, and written communication; ability to influence senior leaders.
• Experience leading multiple complex projects across diverse stakeholders.
• Experience leading enterprise or cross‑functional initiatives to improve content management, processes, or operations.

Responsibilities

• Lead complex and high‑profile client due diligence requests from intake through delivery.
• Collaborate on regulatory inquiries, RFP responses, contract reviews, and remediation efforts.
• Serve as trusted advisor on due diligence processes, SIG questionnaires, SOC reports, cybersecurity inquiries, and risk documentation.
• Lead large‑scale due diligence projects and content attestation initiatives with multiple stakeholders.
• Build partnerships across Legal, Compliance, Technology, and Risk to resolve issues and support objectives.
• Apply judgment and analytical thinking to evaluate situations and drive outcomes.
• Govern lifecycle of due diligence content, including version control and standards adherence.
• Identify opportunities to modernize, automate, and scale team processes and tools.
• Analyze metrics, trends, risks, and recurring requests to improve service delivery.
• Monitor regulatory developments to anticipate impacts and improve agility.
• Share best practices and represent the team in forums.

Skills

MS Office

Communication

Analytical thinking

Project leadership

Vendor risk management

Education

Bachelor’s degree or equivalent

Tools

CoPilot

Adobe PDF

DocuSign

Job description

Your opportunity

At Schwab, you’re 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.

Corporate Vendor Management at Charles Schwab & Co. leads a firm‑wide, end‑to‑end vendor relationship management process designed to maximize vendor performance and value. The organization identifies, mitigates, monitors, and manages vendor risk while helping Schwab meet regulatory and compliance requirements.

The Incoming Due Diligence team plays an important role in supporting Schwab’s commercial client relationships by coordinating responses to client due diligence, risk, and audit requests. In this highly visible role, you will work across the organization with Legal, Compliance, Technology, Risk, and other subject matter experts to deliver accurate, consistent, and timely information. Your work will strengthen client trust, advance operational excellence, and help Schwab continue to lead with integrity and service above all.

As a Sr. Manager, Incoming Client Due Diligence, you will be a senior individual contributor leading complex engagements and high‑impact initiatives. You will have the opportunity to influence how the program evolves by modernizing processes, strengthening content governance, and scaling operational capabilities. This is an opportunity to own meaningful work, collaborate with talented partners across One Schwab, and build expertise at the intersection of client service, risk, technology, and vendor management.

What you’ll do

• 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.

This is a summary only, and duties and responsibilities may change over time.

Location & Work Arrangement: This hybrid role requires four days per week in the office and one remote workday. Candidates must live in, or be willing to relocate on their own to, the listed location.

Applicants must be currently authorized to work in the United States on a full‑time basis without employer sponsorship.

In addition to the salary range, this role is also eligible for bonus or incentive opportunities.

What you have

To ensure that we fulfill our promise of “challenging the status quo,” this role has specific qualifications that successful candidates should have.

Required 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.

Preferred qualifications:

• Experience with CoPilot, Adobe PDF, and DocuSign.
• Experience with data analytics, reporting, or database tools.
• Knowledge of SIG questionnaires, SSAE 18 SOC reports, PCI DSS, internal controls, financial or banking regulations, information technology concepts, and operational or vendor risk assessments.
• Audit experience.

What’s in it for you

At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. 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