Senior Manager, Supervisory Risk Management

Sua oportunidade

em Schwab, você está com o poder de causar impacto na sua carreira. Aqui, o pensamento inovador atende à solução criativa de problemas, ajudando -nos a "desafiar o status quo" e transformar a indústria financeira. A visão de supervisão de varejo e gerenciamento de riscos é ser um parceiro independente de confiança de todas as partes interessadas da Schwab que promove o crescimento dos negócios por meio de gerenciamento eficaz de riscos. Nós nos esforçamos para melhorar os resultados dos negócios, fornecendo e aplicando orientações de risco práticas, consistentes, eficazes e imparciais, fundamentadas em uma profunda compreensão das metas de negócios, bem como do ambiente regulatório e do setor. Essa função envolverá identificação de riscos, suporte de controle e gerenciamento de problemas em vários grupos de governança (1ª linha de testes de defesa, operacional, terceiros, auditoria, conformidade). Além disso, o gerente sênior supervisionará a criação, revisão e gerenciamento do conteúdo de divulgação para garantir a precisão, a conformidade e a clareza. Eles serão responsáveis ​​por entender e implementar processos de mudança de gerenciamento de divulgação, garantindo uma comunicação eficaz com os processos e aprovações públicas e mantendo um inventário abrangente de divulgação. A função também envolverá a utilização de ferramentas que suportam controle de versão, gerenciamento de conteúdo e implantação. Experiência. Para trabalhar em vários projetos e priorizar com base em riscos regulatórios e necessidades de negócios. e colegas.

Retail Supervision and Risk Management is an independent group responsible for providing delegated review of control and risk mitigation functions to Schwab’s Investor Services. The vision of Retail Supervision & Risk Management is to be a trusted independent partner of all Schwab stakeholders that 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.

The Senior Manager, Supervisory Risk Management will focus on regulatory risk management and control issues for the Investor Services/ Retail group. This role will involve risk identification, control testing support, and issue management across multiple governance groups (1st Line of Defense Testing, Operational, Third Party, Audit, Compliance). Additionally, the Senior Manager will oversee the creation, review, and management of disclosure content to ensure accuracy, compliance, and clarity. They will be responsible for understanding and implementing disclosure management change processes, ensuring effective communication with the public processes and approvals, and maintaining a comprehensive disclosure inventory. The role will also involve utilizing tools that support version control, content management, and deployment.

This is a complex role that requires a candidate with considerable industry, supervisory, and risk/control knowledge.

What you have

Required Qualifications:

• 6-10 years relevant financial services experience, including broker-dealer and retail experience.
• 5+ years supervisory, risk, audit, control, or compliance experience in a similar financial service industry.

Preferred Qualifications:

• Series 7 and other licenses (willingness to obtain).
• Strong communication, influencing, and presentation skills.
• Highly effective organizational and time management skills.
• The ability to work on multiple projects and prioritize based on regulatory risk and business needs.
• Experienced in risk identification, control testing support and issue management across multiple governance groups (Ex: 1st Line of Defense, Operational Risk, Third Party, Audit and Compliance).
• Ability to collaborate with all levels within the Schwab organization to analyze risk, control and related issues
• Track record of providing sound guidance to business partners and peers.
• Ability to respond to changes in the business and/or regulatory environment by actively recommending changes to existing policies and procedures.
• Capacidade de responder às descobertas e planos de remediação conforme apropriado e acompanhar até a conclusão. Isso inclui experiência em ferramentas de tipo de risco e controle (ferramentas GRC). Aprovações. Nossa cultura de apoio e foco no seu desenvolvimento significa que você obterá as ferramentas necessárias para fazer uma diferença positiva no setor financeiro. Nosso
• Strong attention to detail and the ability to identify core and root cause of gaps and weaknesses.
• Experience in managing and implementing disclosure content, ensuring compliance with regulatory requirements and maintaining high standards of accuracy and clarity.
• Understanding of disclosure management change processes and communication with the public processes and approvals.
• Experience with or understand of concepts related to disclosure risk management.
• Proficiency with tools that support disclosure version control, content management, and deployment.