Senior Manger Wealth and Product R&G Policy Team

Your Opportunity

Schwab remains committed to providing increased visibility to career growth opportunities and job requirements. This posting announcement is part of increased transparency and while all qualified applicants will be reviewed and considered, this organization has a preferred candidate identified for this role. 

Schwab’s Wealth and Product Risk & Governance (WP R&G) organization offers industry-leading wealth management services to both retail and registered investment advisor (RIA) clients. The team is responsible for Schwab’s wealth management strategy, while delivering industry-leading experiences, through solutions like Schwab Wealth Advisory (SWA) and Schwab Advisor Network (SAN), along with a broad range of investment products and solutions.  

Within the Wealth Advisory, Banking, and Trust Services (WABT) organization, the WP R&G team is responsible for providing leadership and strategic support for governance, policy management, and regulatory initiatives to effectively manage risk as we deliver comprehensive wealth and advice services to both Retail and Advisor Services clients.

What you’ll do:

This Senior Manager role will report to the Director of the Policy & Risk Programs team in WP R&G. The Senior Manager position is a strategic role and is responsible for managing and executing on our various business policies and related change management efforts needed to enable WABT strategic product and offer initiatives. The ability to build and foster relationships across the firm, think critically, communicate complex ideas with clarity and draft policies consistent with Schwab's policy approach will be imperative to the success of this role. The Senior Manager position will work most closely with teams within WABT, peer policy teams, and 2LOD partners.

Key responsibilities:

• Developing new or updated policies, inclusive of related change management processes by coordinating with key business partners and stakeholders across the broader Schwab enterprise
• Partnering with peer policy teams to ensure awareness and alignment for cross-cutting policy change efforts, and aligning resources to support policy, procedure, supervision, and technology needs
• Facilitating and maintaining regular reviews of policies by owned by WAS and developing the framework for policy maintenance processes owned by the Policy Program
• Assessing impact from Corporate Risk and Business policies (1LOD-/2LOD-owned) and liaising across the WABT and SIPSS organization and other impacted business partners to effect changes; tracking open change management efforts and managing activities to completion.
• Establishing connectivity between policies and supervisory practices by collaborating with client-facing leaders and delegated supervisors to identify opportunities.
• Supporting WAS initiatives by providing strategic input, developing execution plans, and owning policy-related change management, including control and supervisory program updates.
• Assessing the impact on policies and procedures in the event of business or regulatory changes.
• Provide strategic input for WABT product and offer initiatives, balancing risk mitigation with business enablement
• Develop, memorialize, and share templates and other best practice resources with colleagues to enable scale of risk change management support.

What you have

• 6+ years supervisory, risk, control, or oversight experience
• Experience writing policies, procedures, or other business procedure related documents
• Outstanding written and verbal communication, time management, and organizational skills
• Experience with providing strategic input for business initiatives and coordinating resources and execution activities across various functions
• Excellent relationship management skills (negotiating, collaborating, influencing)
• Interest in creating change through process improvements, training, and streamlining functions
• Ability to think conceptually and propose solutions that balance effective risk management and enable business evolution
• 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, and PowerPoint.
• Series 7 & 63 are preferred, but not required.