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.
Wealth and Advice Solutions Risk & Governance (WAS R&G) is a team of risk professionals supporting Wealth & Advice Solutions (WAS) in understanding and executing on various risk program obligations. Within WAS R&G, the Governance and Business Operations team is responsible for elevating and focusing on governance practices across WAS. Key activities include governance (committees, councils and informal forums) across the WAS business, and connection to cross-enterprise forums, Product Review and Disclosure Management.
In this role, you will make a broad impact by supporting the execution of the WAS-wide Disclosure Management Program, improving efficiency and effectiveness of the process, automation, and accountability of disclosure-related processes. The Sr. Manager will support one or more of the WAS Offer/Product teams (Digital Wealth Products, Wealth Offers, Operations, Strategy or Investment Offers & Solutions) and cultivate subject matter expertise to support WAS disclosure documents and disclosure fragments. This role involves assessing and implementing disclosure updates as products, offers, business practices, and/or the regulatory environment changes, including ushering them through the review and approval process. You will establish cross-enterprise partnerships across WAS, Partner Enterprises (e.g., Schwab Asset Management, Retail, etc.), First Line Risk Management Office (1RMO), and Cross Disclosure Management (XDM) to support continuous enhancement of the end-to-end process and tooling.
Your responsibilities will include, but are not limited to, supporting the following Disclosure Management Program activities:
Participate in the design, development and roll-out of communication and training resources to support the Disclosure Management Program.Map and understand connection points across various disclosure documents (i.e., Form ADVs, Agreements, Terms & Conditions, and product/offer specific disclosures). Assess disclosure needs and implement updates as products, offers, business practices, and/or the regulatory environment changes.Maintain the WAS Disclosure Fragment Glossary.Consult with business Offer/Product Owners, Legal, and Compliance regarding the applicability of rules and regulatory requirements, internal guidelines and disclosure standards, and other risk related issues during the review and approval process. Perform other disclosure or governance related activities. What you haveRequired Qualifications:
7+ years of risk management and/or disclosure management work experience, preferably in a diversified financial services environment.7+ years’ financial services, consulting, or regulatory experience. Bachelor’s degree and/or equivalent work experience.Preferred Qualifications:
Solid knowledge of recent regulatory developments with a specific focus on disclosure obligations.Active FINRA Series 7 and 24 licenses. Strong understanding of retail, advisory and brokerage products/services.Banking experience is beneficial.A keen interest in digital disclosure delivery and product management.Strong written and verbal communication, organization, and project management skills with the ability to coordinate and prioritize actions and milestones.Ability to motivate colleagues to achieve tactical and strategic delivery goals.Proven success streamlining or reimagining existing processes leveraging a creative and resourceful approach.Successful history influencing and driving a vision while being mindful of stakeholders’ needs and requirements. Options Apply for this jobApplyShareRefer a friendRefer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed Why work for us?Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.
Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Application FAQs
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