Your Opportunity

Managing Director, Retail and Workplace Services Compliance

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, a preferred candidate for this role has been identified.

Role Summary

The Managing Director, Retail and Workplace Services Compliance will lead the compliance strategy, governance framework, and organization supporting Schwab’s Retail, Workplace Services, Retirement, and International businesses. This executive will provide independent oversight, trusted counsel, and effective challenge across a broad portfolio of products, services, client segments, and regulatory obligations, partnering closely with senior business leaders to enable sustainable growth while protecting clients, the firm, and Schwab’s reputation.Key Outcomes

• Define and execute the compliance strategy for Retail, Workplace Services, Retirement, and International businesses, aligned to enterprise priorities and regulatory expectations.
• Provide senior-level independent oversight, guidance, and effective challenge across complex broker-dealer, retirement, workplace, consumer protection, and international regulatory frameworks.
• Serve as the primary Compliance advisor to senior business leaders, influencing strategic decisions with significant regulatory, operational, client, and reputational implications.
• Anticipate emerging regulatory developments and industry trends, translating them into clear priorities, operating model enhancements, and risk mitigation strategies.
• Lead regulatory examinations, inquiries, and engagements with credibility, judgment, and a focus on constructive regulatory relationships.
• Strengthen governance routines, escalation practices, and compliance reporting to support informed decision-making and executive accountability.
• Enable responsible business growth and innovation by balancing strategic objectives with independent compliance oversight and sound risk management.
• Partner across Legal, Risk Management, Internal Audit, Operations, Technology, and business leadership to address cross-enterprise compliance risks and priorities.
• Build, develop, and retain a high-performing Compliance organization with deep technical expertise, strong business acumen, and effective advisory capability.
• Promote a culture of integrity, accountability, and client-first decision-making across teams and business partners.

What you have

Required Experience

• Extensive senior leadership experience in compliance, legal, risk, regulatory, or control functions within a highly regulated financial services environment.
• Deep technical expertise in broker-dealer regulations, securities products and services, distribution channels, and operational processes.
• Strong understanding of retirement, workplace services, and related regulatory frameworks, with the ability to provide horizontal oversight across complex business lines.
• Proven ability to advise and influence executive leaders, governance committees, regulators, and cross-functional stakeholders on high-impact compliance and risk matters.
• Demonstrated success leading regulatory examinations, managing regulatory relationships, and driving timely, durable remediation of supervisory or control issues.
• Exceptional judgment, executive presence, and communication skills, with the credibility to provide effective challenge while maintaining trusted business partnerships.
• Track record of building and evolving high-performing teams, developing senior talent, and aligning organizational capabilities to emerging business and regulatory needs.
• Strong strategic orientation, business acumen, and ability to lead through ambiguity, complexity, and change across a large-scale enterprise.