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Senior Manager, Regulatory Operations

Westlake, Texas

Requisition ID 2023-96225 Category Legal & Compliance Position type Regular Salary USD $101,000 - $205,700 / Year

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.

The Regulatory Liaison Office’s (RLO) mission is to drive an informed, efficient and effective regulatory engagement program by serving as a central point of contact for all regulatory risk matters. The RLO’s vision is be a trusted liaison with Schwab business partners and with our regulators by encouraging clarity, communication and credibility to support Schwab’s businesses as they help our clients Own Their Tomorrow.

The Regulatory Operations Team is responsible for operational and logistical support for regulatory activities, routine reporting of regulatory status for key stakeholders and senior management/board, communicating regulatory developments, and driving process improvements. 

The Senior Manager, Regulatory Operations will be a generalist with regulatory and risk experience that can translate information and guidance into executive level communications.

Responsibilities include:

  • Develop and continuously improve management reporting, analytics and metrics for regulatory issues
  • Develop executive level communications that effectively convey regulatory status and developments
  • Track and summarize regulatory developments applicable to Schwab
  • Manage multiple applications supporting the functions across the RLO

*This is a hybrid position

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:

  • Bachelors degree or equivalent experience
  • 5+ plus years of regulatory experience with a prudential financial regulator
  • Experience creating executive and board level reporting
  • Exceptional oral and written communication skills

Preferred Qualifications:

  • General knowledge of regulatory examination framework, regulatory laws, supervisory guidance and effective risk management practices and the applicability to a large financial firm
  • Excellent quantitative skills and expertise
  • Strong background in efficient data analysis, review, reporting and preparing interpretive presentations of data
  • Advanced Excel/PowerPoint/Word skills (formulas, charts, exporting/importing, data validation, etc.); experience with Tableau a plus

What’s in it for you

At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

  • 401(k) with company match and Employee stock purchase plan
  • Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
  • Paid parental leave and family building benefits
  • Tuition reimbursement
  • Health, dental, and vision insurance

Eligible Schwabbies receive

  • Medical, dental and vision benefits

  • 401(k) and employee stock purchase plans

  • Tuition reimbursement to keep developing your career

  • Paid parental leave and adoption/family building benefits

  • Sabbatical leave available after five years of employment