Charles Schwab

Sr Manager, Wealth and Product Risk & Governance

Charles Schwab$110K — $130K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • 6+ years supervisory or risk experience in financial services
  • Understanding of legal, compliance, and regulatory aspects of the financial services industry
  • Experience with Business Unit risk processes and programs
  • Ability to think conceptually and propose balanced solutions
  • Outstanding written and verbal communication skills
  • Excellent relationship management skills
  • Comfort with ambiguity and ability to thrive in a dynamic environment

Responsibilities

  • Support regulatory and operational risk management across WABT and SIPSS
  • Own and manage applicable risk programs as point of contact
  • Evolve risk programs with a WABT/SIPSS-wide perspective
  • Assess impact of Corporate Risk and Business policies and ensure adherence
  • Execute on risk-related change management initiatives
  • Design and develop resources for risk programs owned

Benefits

  • Collaborative work environment across multiple teams
  • Opportunity to influence and negotiate important changes
  • Ability to design and create business-guided resources
  • Engagement with complex and dynamic risk scenarios
  • Exposure to both regulatory and operational risk management
Full Job Description

What You’ll Do

This Senior Manager role will report to the Director of the Risk Programs team within WP R&G. The Senior Manager position is responsible for managing and executing on our various risk programs and related change management efforts. The ability to build and foster relationships across WABT and SIPSS, execute on various risk program-related tasks, and apply a WABT/SIPSS-wide approach to strategically evolving applicable risk programs will be imperative to the success of this role. The Senior Manager position will work most closely with teams within WABT, SIPSS and 2LOD/3LOD partners.

 

Key Responsibilities

  • Supporting regulatory and operational risk management and control issues across both the WABT and SIPSS enterprises, including risk and control identification, testing support, issue management, and operational oversight.
  • Assuming ownership and responsibility for applicable risk programs, serving as program owner, point of contact, and/or SME where appropriate
  • Strategically evolving the approach for owned risk programs by taking a WABT/SIPSS-wide lens and considering related risk events, issues, and test findings.
  • Assessing impact from Corporate Risk and Business policies (1LOD-/2LOD-owned) related to owned risk programs and evolving programs to ensure ongoing adherence with enterprise expectations; influencing and negotiating as needed to ensure ability to implement required changes for WABT and SIPSS.
  • Supporting WABT and SIPSS initiatives by executing on risk-related change management, including control updates
  • Designing, developing, and creating WP R&G business-guided resources related to risk programs owned
What you have
  • 6+ years supervisory, risk, control, or oversight experience in financial services
  • Understanding of legal, compliance, and regulatory aspects of the financial services industry (e.g., broker-dealer, RIA)
  • Experience with maintaining and owning Business Unit risk processes and programs
  • Ability to think conceptually and propose solutions that balance effective risk management and enable business evolution
  • Experience with technical/digital and product-related processes, or the ability to learn quickly.
  • Outstanding written and verbal communication, time management, and organizational skills
  • Excellent relationship management skills (negotiating, collaborating, influencing)
  • Comfort with ambiguity; ability to learn quickly and thrive in a complex, dynamic, environment
  • Ability to be a self-starter and work independently
  • Intermediate knowledge of Microsoft Word, Excel, Outlook, PowerPoint, and SharePoint
  • Experience with MyGRC or similar risk and governance tools
  • Ability to manage multiple projects in a fast paced, team environment
  • Knowledge of Wealth Advisory Services and Schwab Investment Platforms, Solutions, and Strategy organizations a plus

About Charles Schwab

Charles Schwab is a financial services company that provides a full range of securities, brokerage, banking, money management, financial advisory, investor, and retirement plan services. It operates in four main divisions; investing, wealth management, banking, and trading. Charles Schwab provides a full-service brokerage platform that serves individual investors who invest on their own or through a workplace-sponsored retirement or equity plan, as well as banking through Schwab Bank. The firm was founded in 1973 and is headquartered in San Francisco, California.

Charles Schwab Careers

Join the vibrant team at Charles Schwab, a leader in global finance, where your career is propelled by innovation, leadership, and a commitment to diversity and professional growth. At Charles Schwab, we offer more than just job opportunities; we provide a platform for you to make a significant impact on the industry and our clients' lives.

Work You’ll Do

At Charles Schwab, we are dedicated to helping our clients manage their financial futures. Being part of our team means you'll work alongside some of the most skilled professionals in the financial services industry. Our culture thrives on teamwork, integrity, and relentless dedication to our clients. Whether you're looking for a position in financial consulting, technology, or administrative support, Charles Schwab offers a dynamic work environment where your skills will be honed and your achievements recognized.

Innovate and Lead

Embrace the opportunity to lead through innovation. Charles Schwab’s commitment to technology and innovation is fundamental to our service delivery. By joining our team, you will be at the forefront of developing new solutions that redefine the future of finance. Your leadership can guide significant projects that impact our company and the industry.

Grow Your Career

Charles Schwab believes in fostering the growth of its employees. Whether through professional development programs, diversity training, or leadership workshops, we ensure that our team members receive the support and training they need to advance their careers. With a variety of career paths available, your job at Schwab can evolve with your interests and expertise.

Internship and Employment Opportunities

Start your professional journey with Charles Schwab through our internship programs or full-time employment opportunities. We seek individuals who are passionate, curious, and ready to drive change. A career at Schwab is not just about having a job; it's about building a lasting relationship with a company that values your potential.

Benefits and Culture

Charles Schwab is renowned for its employee-friendly culture. We offer a comprehensive benefits package that supports the health, financial stability, and work-life balance of our team members. From competitive salaries and bonuses to health insurance and retirement plans, Schwab ensures that your career is as rewarding as it is enriching.

Networking and Professional Development

Expand your professional network and enhance your skills through our various networking events, mentorship programs, and training sessions. At Charles Schwab, we believe in leveraging collective expertise to foster learning and innovation. Engage with leaders, gain insights from experienced professionals, and build relationships that will aid your career trajectory.

Join Our Team

Explore the numerous career paths available at Charles Schwab and discover how your talents can be utilized to their fullest potential. Search open positions that match your skills and interests. We are continuously hiring across various disciplines and look forward to adding innovative, driven individuals to our team.

Stay Connected

Keep up to date with the latest from Charles Schwab Careers by subscribing to our job alert emails. Tailor your subscription to receive updates that align with your career preferences and be the first to know about new openings, company news, and professional tips.

Explore Charles Schwab Jobs

Ready to take the next step in your career? Visit our careers page to review current job openings, submit your resume, and prepare for your interview. At Charles Schwab, your future is waiting. [SEARCH CHARLES SCHWAB JOBS] Join Charles Schwab today and be part of a team that values diversity, innovation, and leadership—where your career can thrive in the exciting world of finance.
Learn more about Charles Schwab
Size
34,200 employees
Market Cap
$151.6 billion
Industry
Net Income
$3.2 billion
Founded
1973
5 Year Trend
+20%
Revenue
$12.1 billion
NASDAQ

Similar Jobs

More Jobs at Charles Schwab

More Finance & Insurance Jobs

Find similar Sr Manager, Wealth and Product Risk & Governance jobs: