Senior Manager, Business Unit Risk

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. 

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.

We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location. 

At Schwab, you’re empowered to make a meaningful impact on clients, advisors, and internal partners. As the Sr. Manager, Advisor Services Forms, you will set the strategic direction and own the end-to-end governance, quality, and evolution of the Advisor Services forms portfolio. This role balances risk management, regulatory alignment, and business enablement, while continuously improving the advisor and client experience.

This role sits within the Advisor Services Policy, Forms, and Project Execution team in Risk & Controls and serves as the senior owner for Advisor Services forms, partnering closely with Legal, Compliance, Product, Technology, and Operations leaders across the firm.

Role Overview

Forms are a core control and communication mechanism for the firm. As the senior owner, you will oversee the strategy, standards, and execution for the full Advisor Services forms portfolio, ensuring consistency, accuracy, timeliness, and regulatory compliance across channels. You will lead complex form initiatives, anticipate regulatory and risk-driven change, and champion continuous improvement at scale.

In this role you will:

• Own the strategic oversight and governance of the Advisor Services forms portfolio, including prioritization, standards, controls, and execution across more than 100 forms.
• Set and evolve the Advisor Services forms strategy to respond to regulatory changes, emerging risks, fraud trends, and new tools or technologies, ensuring proactive rather than reactive updates.
• Provide senior leadership for form review and update processes, ensuring updates are completed accurately, efficiently, and, when appropriate, in a single coordinated release.
• Lead and influence cross-functional partners including Legal, Compliance, Product Owners, Technology, Operations, and ENCORE to identify, scope, approve, and implement form changes with a clear audit trail.
• Serve as the escalation point and single accountable owner for Advisor Services form-related inquiries, defects, incidents, and risk issues raised by lines of defense or business partners.
• Establish and maintain controls to ensure the correct form versions are distributed across all channels, including oversight of periodic audits and remediation efforts.
• Drive continuous improvement across the forms lifecycle by identifying process gaps, owning high-impact improvement initiatives, and demonstrating disciplined project execution and results delivery.
• Set expectations and provide leadership for advisor- and client-focused form experience improvements, including alignment between paper and digital content and readiness for future automation.
• Build and maintain strong, consultative relationships with business partners, providing guidance on form, policy, and disclosure requirements while negotiating practical, risk-appropriate solutions.

What you have

 To ensure that we fulfill our promise of " challenging the status quo " this role has specific qualifications that successful should have.

 Required Qualifications: 

• Seven or more years of experience leading client-facing documentation, policy, forms management, or complex risk- and regulatory-driven initiatives, with demonstrated senior-level ownership.
• Proven experience overseeing a large, complex portfolio of forms or documents, with the ability to prioritize, track, and govern work across multiple stages of review and approval.
• Strong ability to interpret regulatory, legal, operational, and product information and apply it appropriately across a diversified forms portfolio.
• Demonstrated success driving alignment and consensus among senior stakeholders across legal, compliance, risk, technology, and product organizations.
• Exceptional attention to detail and quality standards, with a track record of preventing defects and minimizing downstream risk or business disruption.
• Advanced project leadership skills, including the ability to manage and deliver multiple complex initiatives concurrently while meeting firm deadlines.
• Strong problem-solving, negotiation, and relationship management skills, with a consultative leadership style.
• Excellent written and verbal communication skills, with the ability to translate complex requirements into clear guidance for diverse audiences.
• Advanced working knowledge of document management, workflow, and publishing tools such as Adobe and Workfront, or similar platforms

In addition to the salary range, this role is eligible for bonus or incentive opportunities.