Senior Manager – Corporate Compliance Professional Practices Group

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.

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.

Your Opportunity

Schwab’s Compliance department is part of the broader Corporate Risk Management organization which is primarily responsible for developing and maintaining the Enterprise Risk Management Framework, establishing the processes for risk identification and assessment, risk response, measurement and monitoring and, reporting and escalation across the Charles Schwab Corporation (CSC)’s key risk categories.

The Corporate Compliance organization coordinates the Company's compliance efforts and performs an advisory, monitoring, testing and education role to support efforts to achieve compliance with the financial services industry rules and regulations and policies of the Company.  The Professional Practice Group (PPG) is embedded within Corporate Compliance and executes quality assurance, procedural best practices, learning and development and transformation activities supporting Compliance.

As a member of PPG, this role contributes across multiple disciplines, with the opportunity to specialize in delivering high-quality, consistent, and risk-focused assurance and reporting work.

The successful candidate will bring a strong background in compliance risk management within a large-scale financial services organization, along with demonstrated experience working in complex functions and partnering effectively with senior stakeholders.

What you’ll do

Compliance Risk Testing:

• Support initiatives to enhance and innovate compliance testing practices, methodologies, and processes to improve efficiency, effectiveness, and alignment with regulatory and industry expectations
• Assist in developing and delivering topical and skills-based training to strengthen the capabilities of the Compliance Risk Testing (CRT) team
• Support CRT leaders in the development and centralization of testing schedules, records management, and testing logistics
• Perform high-quality independent reviews of CRT work to assess adherence to company policies, regulatory requirements, and professional standards

Compliance Monitoring

• Perform governance and oversight of the Compliance Risk Monitoring program ensuring monitoring activities, systems, and alerts are consistently executed across the department to identify, mitigate, and report compliance risks and monitoring outcomes
• Support Compliance leaders in the development of annual monitoring schedules and related change management process

Issue Management

• Execute on end-to-end Compliance Issue Management processes for issue and observation identification, documentation, response, monitoring, closure validation, and reporting

RCSA Administration

• Facilitate the execution and certification of a complete and accurate Compliance Risk and Control Self‑Assessment (RCSA)
• Ensure risks and key controls are clearly documented to prevent, detect, or monitor inherent risks
• Execute effective challenge of risk and control design and operating effectiveness assessments
• Maintain current knowledge of applicable self-regulatory organizations (FINRA, NFA) and federal and state regulatory requirements.
• Promote best practices and assist in keeping stakeholders informed of PPG initiatives and priorities

What you have

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

Required Competencies:

• 5+ years of compliance and/or risk management experience; preferably assurance activities such as compliance testing and/or monitoring
• Experience in auditing business risks, controls, and processes or experience in a professional practice or audit policy and methodology role, with exposure to regulated financial services environment
• Strong understanding of risks and controls
• Problem solving - Solid attention to detail/analytical skills with the ability to diagnose root cause and creatively identify solutions
• Adaptability to changing factors, conditions and environments
• Team-oriented collaboration skills with a strong sense of ownership and accountability
• Strong interpersonal and communication (written and verbal) skills
• Ability to manage multiple tasks and work well under pressure
• Superior communication skills, both written and verbal, with the ability to tailor messaging for diverse audiences
• Strong collaboration and influencing skills; proven ability to work across functions and drive alignment
• High attention to detail, sense of urgency, and comfort in a dynamic, fast-paced environment
• Passion for learning and intellectual curiosity about emerging technologies and financial innovation

Preferred Competencies:

• Bachelor’s degree in finance, accounting, or a quantitative discipline

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