Manager, Business Unit Risk

Your opportunity

Our Opportunity:

Corporate Records supports the Firm-wide Records Management Program in accordance with the requirements outlined in the Records Retention Policy and Standards. The department serves all functional areas of the firm and has developed processes to assist management in ensuring compliance with applicable record retention requirements, maintaining approved Record Retention Schedules, and managing the storage, retention, and disposition of records.

The Manager position within the Corporate Records Management Team (CRM) provides support to various business partners across Schwab. The CRM Manager will oversee several processes, including Archival Consultation, management of box paper records, electronic communication retrieval, estate support, historical collateral management, and on-demand reclassification. Additionally, the CRM Manager will lead business-initiated projects aimed at maintaining regulatory compliance and aligning with industry best practices.

What you’ll do:

As a Manager of Business Unit Risk in Corporate Records Management, your responsibilities will include, but not be limited to, the following activities: 

• Safeguard sensitive and confidential information by implementing security measures for both physical and digital records. 
• Assist in the development and implementation of records management policies and procedures that comply with legal and regulatory requirements
• Collaborate with various departments to assess their records management needs and provide tailored solutions
• Complete required tasks timely and in accordance with the associated procedures and regulations
• Promote and enhance the use of data analysis and reporting to identify trends and anomalies in corporate record management data across the Enterprise. 
• Challenge ourselves, the businesses we support and our risk partners to identify gaps and build a proactive consistent approach.  
• Assist in creating and providing clear and consistent communications and training that supports the Annual Records Certification.
• Take part in corporate record management transformation sessions, incorporating new firm-wide guidance and technology your day-to-day work and interactions with our business partners.
• Actively identify opportunities to enhance existing processes to close gaps, implement modernization improvements, and mitigate risk.
• Participate in industry risk forums and training activities to stay current with record management best practices.
• Building strong relationships with business partners.

What you have

Required qualifications

• 5+ years of experience in the financial services industry required;
• A proactive approach to improving processes and driving efficiency;
• Strong problem-solving abilities and critical thinking skills;
• Strong attention to detail and organizational skills
• A collaborative mindset with a focus on teamwork and mutual respect;
• Familiarity with legal and regulatory requirements related to records management, including data privacy regulations;
• The ability to incorporate and understand mass information from a variety of sources to recommend a course of action;  
• Experience in operational risk, risk management, and business analysis;
• Excellent critical thinking, analytical, problem-solving, and communication skills;
• Excellent oral and written communication skills; 
• Ability to work independently, prioritize tasks, and meet deadlines in a fast-paced, deadline driven environment;
• Discretion and understanding of confidentiality requirements;
• Ability to build relationships and work effectively with multiple business partners across all levels of the organization;

Preferred qualifications

• Fast learner who seeks to understand different points of view and construct informed recommendations;
• Confidence to ask questions and advocate in the best interest of the business;
• Series 7, 9/10 and/or 24 licenses preferred