Director, Retail Supervision & Risk Management Policy

Your Opportunity

As the Retail Supervision & Risk Management (RSRM) Policy Director, you will be responsible for the Retail Policy Framework, including governance and oversight, coordination with risk, business and compliance partners to assess the impact of business and regulatory changes on Retail policies and procedures, policy creation and modification, responding to policy related regulatory exams and inquiries, and leading and executing on strategic policy initiatives, including integration, simplification and evolution of the Retail policy framework. The successful candidate will leverage their regulatory compliance experience and industry knowledge to implement best practices, and credibly challenge and influence policy design while ensuring consist, clear, and effective policies.

Specific role requirements include:

• Builds strong relationships, collaborates, and coordinates with internal partners and key stakeholders (1st and 2nd line partners: business, legal, Compliance, subject matter experts, and risk partners) on strategic policy related initiatives and to achieve firm and specific outcomes
• Establishes policy standards and best practices, driving consistency when developing and implementing policy standards across business lines
• Strong and effective communication, both written and verbal
• Translates complex regulatory information into business policies and procedures that are easy to understand and adhere to
• Experience and passion for policy writing, adopting clear and uniform language
• Provides credible challenge, grounded in a deep understanding of risk, regulatory expectations, and industry standards/practices
• Demonstrates a track record of developing and executing on a plan within agreed timelines, manages expectations, and communicates in the event of any plan changes
• Coordinates and effectively leads working groups
• Develops and effectively communicates metrics and reporting to ensure transparency of policy related initiatives

What you have

Required qualifications:

• Bachelor's Degree
• 10+ years of industry experience, with a minimum of 5 years of compliance policy and procedure writing for broker/dealer and/or RIA, preferably in retail financial services
• Strong regulatory knowledge of broker-dealer and advisory rules and regulations

Preferred qualifications:

• JD a plus
• Exceptional attention to detail and proven ability to manage multiple, competing initiatives simultaneously
• Proven organizational skills and ability to manage multiple competing priorities
• Possess in-depth familiarity with industry policy standards and methods
• Persuasive communication skills, with a demonstrated ability to deliver verbal and written communications that are clear, concise, and impactful with their intended audience
• Strategic thinker who can anticipate the implications and consequences of situations and take appropriate action to be prepared for possible contingencies
• Innovative, positive attitude, coupled with a professional, strong work ethic and high level of integrity and commitment to excellence
• Ability to think creatively to streamline or reimagine existing processes and influence to drive a vision while being mindful of stakeholders' needs and requirements
• Series 7, 9/10, or 24 preferred but not required

What's in it for you

At Schwab, we're committed to empowering our employees' personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you'll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you - both today and in the future:

• 401(k) with company match and Employee stock purchase plan
• Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
• Paid parental leave and family building benefits
• Tuition reimbursement
• Health, dental, and vision insurance