Senior Manager, Business Unit Risk

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.

Advisor Services (AS)’s Business Unit Risk is a 1st Line of Defense team responsible for guiding and executing enterprise risk management practices across AS. Our mission is to protect the client and firm by partnering with the AS business and other risk teams to create a strong control environment.

As a Senior Manager of Business Unit Risk in AS, your responsibilities will include, but not be limited to, the following activities: 

• Partnering with the business to maintain and evolve the RCSA.
• Assist in addressing issues identified in independent testing conducted by our lines of defense groups.   
• Assist in the creation and communication of materials that are shared as part of our 1st line Risk Forum, lines of defense, and in discussion with regulators.  
• Become the SME for several groups within AS.
• Building strong relationships with business partners within all three lines of defense.

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:

• 5+ years of experience in risk management
• Passion for our clients and supporting our business partners
• Knowledge and experience with FINRA Rule 3110 for written supervisory procedures
• Knowledge and experience with MyGRC
• Strong business acumen to support alignment of risk and supervision with business process
• Strong understanding of the relationship between risks and the role controls play in managing and mitigating risk
• Bachelor’s degree required

Preferred Qualifications:

• Knowledge of Advisor Services
• Series 7 preferred  
• Proficiency in risk and control data analysis, in particular, the ability to incorporate and understand information from a variety of sources to recommend a course of action;  
• Excellent critical thinking, analytical, problem-solving, and communication skills;
• Excellent oral and written communication skills
• Audit experience/testing knowledge
• Fast learner who seeks to understand different points of view and construct informed recommendations
• Confidence to ask questions and advocate in the best interest of the business
• Self-starter who can manage multiple deliverables of varying scope and complexity
• Ability to build relationships and work effectively with multiple business partners across all levels of the organization
• Ability to develop, maintain, and strengthen partnerships with others inside or outside of the organization who can provide information, assistance, and support