Senior Manager, Policy Governance, Learning & Development - Investor Services

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.

Retail Supervision and Risk Management (RSRM) is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis, and supervisory risk assessments, to Schwab’s Investor Services. Retail Supervision and Risk Management’s vision to be a trusted independent partner of all Schwab stakeholders promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective, and unbiased risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment.

We are seeking a highly organized and results-oriented Senior Manager to join the Retail Supervision & Risk Management (RSRM) Risk team supporting the Learning & Development (L&D), and Policies & Procedures (P&P) functions. This role is critical in ensuring that our organization maintains the highest standards of compliance, operational efficiency and effectiveness, and continuous improvement while focusing on ensuring Supervisors are properly onboarded, trained, supervised, and maintain a high level of knowledge with regards to policy and procedure. The ideal candidate will have a deep understanding of the financial services industry, regulatory requirements, and industry best practices, as well as a proven history of related to training delivery, content management, and policy and procedure development and governance , and delivering consistent high quality results.

Key Responsibilities

The Senior Manager, Retail Supervision & Risk Management role will be a hybrid role across the RSRM Learning & Development and RSRM Policies & Procedures functions and will be responsible for:

Learning & Development (L&D) Function

• Design, development and facilitation of learning & development programs based on ongoing training needs, quality assurance results, and supervisory program changes, including maintenance of training materials, content, and resources, ensuring content is relevant, up-to-date, and aligns with industry standards and regulatory expectations as a member of our L&D function.
• The ideal candidate will be a confident public speaker and a devoted educator with a strong supervisory and/or regulatory audit/examiner background, training experience, and strong analytical and presentation skills.

Policy & Procedures (P&P) Function

• Review and creation of Retail policies and procedures (including Written Supervisory Procedures) to ensure regulatory expectations, alignment with risk appetite, consistency with guiding principles, clarity, and achievability, including content creation, maintenance and archival, as a member of our P&P function.
• The ideal candidate will have a strong compliance or regulatory background, writing skills, be organized and detailed oriented, and able to manage multiple competing priorities with a focus on promoting positive change management through influence. Key focus on development and implementation of policy standards and best practices, ensuring consistency across all business lines and a demonstrating a passion for policy writing, using clear and uniform language to create and modify policies are necessary.

The ideal candidate will maintain expertise and focus in the following areas:

• Building Strong Relationships: Collaborate and coordinate with internal partners and key stakeholders, including business, legal, Compliance, subject matter experts, and risk partners, to drive strategic policy initiatives and achieve firm and specific outcomes.
• Effective Communication: Communicate clearly and persuasively, both in writing and verbally, to convey complex regulatory information in a way that is easy to understand and adhere to.
• Credible Challenge: Provide informed and credible challenges to content design, grounded in a deep understanding of risk, regulatory expectations, and industry standards.
• Project Management: Develop and execute plans within agreed timelines, manage expectations, and communicate any changes effectively.

• Leadership: Demonstrate peer leadership, coordinate and lead working groups, ensuring that all members are aligned and working towards common goals within required timelines.
• Transparency: Develop and communicate metrics and reporting to ensure transparency in policy-related initiatives.
• Partnership: Serve as a thought leader and trusted advisor to senior management
• Culture: Foster a culture of feedback and continuous improvement, with a commitment to measurable results and accountability.

What you have

Required Qualifications:

• Bachelor’s degree or equivalent
• 8 – 10+ years of supervision, compliance, audit, or regulatory risk management experience in a financial services retail broker dealer or investment advisory role.
• Strong knowledge of financial services broker-dealer and Investment Advisory industry standards, best practices, and rules/regulations, including FINRA Rule 3110, Regulation Best-Interest, and DOL PTE
• Experience developing and delivering training content
• Experience drafting and maintaining policies and procedures

Preferred Qualifications:

• FINRA Series 7, 9/10, or 24
• Confident public speaker, presenter, and a devoted educator with a strong supervisory and/or regulatory audit/examiner background, training experience, and strong analytical and presentation skills and a strong ability to influence for process improvement.
• Superb MS Office (PowerPoint, Excel, Word) skills
• Exceptional written and verbal communication skills with the ability to communicate to audiences of varying levels of seniority
• Ability to operate in a challenging environment and execute with speed without sacrificing quality
• Strong analytical skills and ability to analyze data and information and draw robust conclusions
• Ability to negotiate and influence outcomes without direct authority and push through roadblocks and dependencies
• Initiative-taker who operates independently, yet collaboratively in a highly organized fashion.
• Innovative, positive attitude, proactive, professional, highly engaged, strong work ethic with high level of integrity and ethics
• Policy writing expertise that demonstrates a passion for policy writing, using clear and uniform language to create and modify policies.
• Collaborate and coordinate with internal partners and key stakeholders, including business, legal, Compliance, subject matter experts, and risk partners, to drive strategic policy initiatives and achieve firm and specific outcomes.
• Communicate clearly and persuasively, both in writing and verbally, to convey complex regulatory information in a way that is easy to understand and adhere to.
• Provide informed and credible challenges to learning & development and policy design, grounded in a deep understanding of risk, regulatory expectations, and industry standards.
• Develop and execute plans within agreed timelines, manage expectations, and communicate any changes effectively.