Manager, First Line Risk Management

Your opportunity

At Schwab, you are 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.

The Professional Practices Group (PPG), part of the First Line Risk Management Office (1RMO), is seeking a dynamic PPG Manager to lead efforts in standardization, process improvement, and oversight methodologies. This role plays a critical part in ensuring our practices align with both business goals and regulatory standards. Reporting to the PPG Senior Team Manager, you’ll be at the forefront of enhancing compliance, streamlining operations, and partnering across business units to drive meaningful change.

As a PPG Manager, you’ll take ownership of key oversight functions that support our enterprise-wide risk management strategy. Your responsibilities will include managing evidence requests for the RCSA Control Assurance Team (RCAT), tracking new hire training completion to ensure onboarding excellence, maintaining logs for gifts and external appearances to uphold transparency and integrity, and conducting quality assurance reviews to ensure RCAT’s adherence to internal and regulatory standards.

You’ll also contribute to broader PPG initiatives—collaborating with the centralized issue management team and driving cross-functional projects that elevate our processes and drive impact.

Key Responsibilities:

• Manages RCAT close report issuance, tracking, and inquiry responses; supports closure activities.
• Ensures timely completion of RCAT MyLXP training for new hires and provides documentation to Internal Audit and 2LOD as needed.
• Leads oversight of external appearances and gift log tracking to maintain compliance with Schwab standards.
• Supports RCAT issue management by providing backup, collaborating on issue resolution, and ensuring timely completion.
• Owns end-to-end process optimization for 1RMO, delivering high-quality outputs, managing risk effectively, and fostering strong team collaboration.
• Monitors changes in industry standards and regulations, implementing updates as required.
• Applies company risk tolerance and relevant policies when introducing new processes.

What you have

Required Qualifications:

• Bachelor’s degree or higher.
• Minimum of 3 years of experience in risk management, compliance, audit, or professional practices—ideally within the financial services industry.
• Proven success supporting multiple complex projects concurrently, with strong prioritization, issue anticipation, and solution design capabilities.

Preferred Qualifications:

• Advanced PowerPoint skills with a talent for visual storytelling.
• Deep understanding of the RCSA risk environment, including the ability to guide first-line business units, interpret policy, and assess operational risk.
• Strong communicator, adept at engaging and influencing stakeholders across all levels.
• Exceptional organizational skills and attention to detail.
• Self-starter with a proactive mindset and the ability to work independently.
• History of building authentic, cross-functional relationships to drive alignment and influence outcomes effectively.

You demonstrate these behaviors:

• Curious & Proactive: Actively seeks to understand internal processes and those of supported business units, demonstrating initiative and a growth mindset.
• Results-Oriented: Consistently delivers on individual objectives while contributing meaningfully to team goals and shared outcomes.
• Change Leadership: Embraces change and proactively influences the strategic direction of teams and business functions.
• Initiative & Problem Solving: Anticipates challenges and takes ownership in identifying innovative, practical solutions to overcome barriers.
• Interpersonal Effectiveness: Accurately perceives and responds to others’ emotions and intentions through verbal and nonverbal cues, fostering effective communication.
• Collaborative Partner: Builds strong, trust-based relationships across teams, thriving in environments that value partnership, transparency, and shared success.