Compliance Manager

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

DAFgiving360™ is an independent nonprofit organization created to increase charitable giving in the U.S. We offer a donor-advised fund program and related philanthropic tools and guidance that empower donors to incorporate charitable planning into their everyday lives and make a bigger difference in the world. Since our founding in 1999 as an 501(c)(3) public charity, DAFgiving360 donors have recommended over $44 billion in grants to more than 280,000 charities.

DAFgiving360 has entered into a services agreement with Charles Schwab & Co., Inc. for administrative and other services, including human resources. This position will be an employee of Charles Schwab & Co., Inc. and will be subject to its policies and procedures but will report to and be accountable to DAFgiving360 for day-to-day activities.

DAFgiving360™ is seeking a Manager to help with the construction and administration of key elements of the risk and compliance program in support of its Risk Management and Compliance strategy. The successful candidate will report to the Director, Risk Management and Compliance for DAFgiving360™.  This role involves working with Sr. Risk and Compliance Managers to monitor business compliance risk and participate in associated reviews for risk identification, control evaluation, and assessment (RCSA) of business activities. This individual will also be heavily involved in compliance testing, providing compliance support to internal business unit(s) and engaging in ad hoc projects as assigned. This role will work closely with various departments to ensure applicable policy and standards are followed and to promote a culture of compliance throughout the organization.

What you are good at

• Working cross-functionally with the Risk and Compliance team to identify potential areas of vulnerability, risk and/or opportunities to enhance compliance within DAFgiving360™
• Assisting in the implementation and execution of DAFgiving360’s™ Risk and Compliance programs and initiatives, including its Risk Management Framework
• Creating compliance testing plans, scripts, determining sample sizing and executing to a testing methodology in a matrixed organization
• Collaborating closely with Risk and Compliance team and business stakeholders to identify and implement opportunities for improvement of DAFgiving360’s™ risk and compliance programs
• Carry out other duties as assigned, including, but not limited to, project work

We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site four days per week in the specified locations.

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

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 in Risk Management, Finance, Business Administration, Legal disciplines or related field
• 2+ years of experience working within a compliance or risk management framework and applying risk and compliance principles/methodologies
• Experience in a legal department or compliance department within a large financial services firm
• Demonstrated analytical, problem-solving, and decision-making skills
• Exceptional written and verbal communication skills with demonstrated ability to deliver verbal and written communications that are clear, concise, and impactful with their intended audiences
• Demonstrated experience effectively communicating/presenting (e.g., influencing and engaging) with key stakeholders at all levels across the organization
• Advanced Microsoft skills, including but not limited to Excel, SharePoint, Power Automate, Forms, etc.

Preferred Qualifications:

• Advanced degree (e.g., JD, MBA, Master of Laws/Jurisprudence)
• Experience creating, maintaining and executing compliance testing plans
• Experience interpreting regulatory guidance and assessing compliance and regulatory risk
• Experience in philanthropy or charitable giving at a national donor advised fund