Senior Manager, Compliance Reporting

Your opportunity

The Charles Schwab Corporation (CSC) Compliance Department coordinates the Company's compliance efforts; performs an advisory, monitoring, testing, and education role to support management's supervisory responsibility and efforts to achieve compliance with financial services industry rules, regulations and policies of the Company. Corporate Compliance administers the firm's compliance program, which has evolved to include multiple regulated entities, including its broker-dealer, investment advisors, bank and trust companies, amongst others. With this evolution, the Company's compliance program is increasingly sophisticated and the obligations of the Reporting team have evolved significantly.

What you are good at: 

Our Compliance Reporting, Communications and Policy (CRCP) team is looking for a Senior Manager for the Compliance reporting and governance (CORE) team, reporting to the Sr. Manager People Leader- Compliance Reporting. The Senior Manager will deliver clear, concise, and accurate communication to Schwab's Executive Risk Committees, Senior Leadership, Corporate and Bank Compliance Risk Committees, and Compliance Leadership as a crucial component of effective management of Compliance Risk at Schwab. The CORE team's mission is to support and ensure the accomplishment of this objective by aggregating and synthesizing reporting content, designing/conducting an efficient and effective reporting process, providing critical insights to the department, management, management committees and the board of directors. The CORE team also ensures the effective operation of the firm's compliance risk committees, including the Corporate, Bank, Personal Trust Service, Fiduciary and Conflicts of Interest Compliance Risk Committees.

Additionally, the CORE team designs and ensures effective execution of the Compliance metrics program.

As a Senior Manager in the CORE team, you may take on a role(s) within any of the initiatives covered by the Corporate Compliance Program. Your responsibilities may include, but are not limited to, the following activities:

• Substantive preparation of Management Reporting materials to advance significant compliance risks and issues to the Corporate Chief Compliance Officer, Corporate and Bank Compliance Risk Committees and Subcommittees, Global Risk Committee, Bank Management Risk Committee, and Board Risk Committee with second line team.
• Participate in maintenance of standards appropriate for management reporting and metrics.
• Collaborate closely within Compliance and other second line risk organizations to obtain materials, guide colleagues to ensure important data/information is received timely, and substantively review materials with effective challenge and feedback for key improvement areas.
• Build and maintain strong working relationships throughout the Compliance Department, Legal Services, Corporate Risk Management, and Internal Support ongoing initiatives within enterprise compliance team.
• Display and use knowledge of financial services industry oversight bodies, guidelines, rules, and regulations to accurately identify and position the impact of Compliance risk to the Company.
• BeanadvocateandresourcewithrespecttocoverageoftheCORETeam by driving awareness and understanding with various partners to consistently manage the Company's compliance risk.

• Develop performance indicators to measure key aspects of the compliance program using visualization, analysis, and calibration to enhance current metrics and observing inventory of important, useful, and, where possible, forward-looking metrics to manage Compliance risk.

What you have

• Bachelor’s degree in either Finance or Business Management; Graduate degree and financial certifications preferred.
• A minimum of 6 years in a reporting (financial, risk, compliance) position within a diversified financial services environment, ideally with experience creating standards and processes across entire enterprises, as well as identifying, calibrating, and maintaining risk metrics and report preparation for various compliance organizations.
• Strong attention to detail, sharp analytical skills and detailed time management coupled with effortless ability to adapt to last minute requests.
• Extraordinarily client focused; able to quickly and effectively form relationships, establish trust, respect, and
• Strong ability to work in a team environment; shown success with collaboration, application of feedback, and ability to be
• Excellent attention to detail with excellent time management and ease of success in a fast moving, dynamic
• Strong critical thinking skills with the ability to connect company-wide compliance measurements for risk appetite and metrics.
• Possess a strong command of the English language applicable to all forms of writing and review of committee materials and reporting and an ability to develop presentations to effectively support the communication of compliance risks and controls framework to senior leaders.
• Curious and innovative with an ability to independently find opportunities for improvement and complete enhancements.
• Strong understanding of varying compliance risks that go beyond business lines, legal entities, and jurisdictions of operations.
• Excellent interpersonal communication skills, able to effectively persuade and influence across channels (written & verbal) with a purpose and connect with audiences of all levels.
• Proficient in the use of SharePoint, Tableau and Microsoft Office Suite including Word, PowerPoint, and Excel. Working knowledge of Power Automate, Power Query and Power BI Tools preferred. Six Sigma, Lean Six Sigma, or other certification focused on measurement of process performance or control effectiveness strongly desired.