Experience Inc. Jobs

Job Information

Charles Schwab Senior Manager, Retail Policy Writer and Governance in Lone Tree, Colorado

Your Opportunity

Supervision and Controls (S&C)is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis and supervisory risk assessments, to Schwab’s Investor Services (retail) group. S&C vision is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective and unbiased risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment.

What you are good at

The S&C 360 Team is a proactive risk management team leading the strategic design, governance, and impact assessment of business and regulatory changes on Schwab’s Investor Services supervisory program.

The S&C 360 Team is responsible for driving strategic initiatives, and proactive risk management including: supervisory design and governance, monitoring and assessing the impact of changes (business/regulatory) on our supervisory program, analyzing trends and patterns, testing to ensure control adequacy/effectiveness, evaluating and designing new controls, establishing standardized written supervisory procedures, and proactively monitoring emerging risks to ensure our supervisory program aligns with regulatory rules and guidance, and within the firm’s risk appetite.

In anticipation of future business growth, the 360 Team is looking for individuals to help drive a program of work focused on investing in our people and evolving both our current system of supervision, and operating model to drive efficiency, consistency and scale across S&C’s supervisory, risk and control functions.

The S&C 360 Policy and Procedures Senior Manager will be responsible for the policy governance process for client facing Investor Service business lines to ensure effective risk management and regulatory compliance. This individual contributor role will be responsible for drafting, maintaining, and ensuring appropriate governance of retail policies and procedures in the event of business or regulatory changes. This role requires strong writing skills, analytical skills, excellent communication skills (both written and oral), strong business acumen, a risk-based mindset, and a demonstrated ability to execute within tight timeframes. Candidates with Financial Services, Regulatory, Compliance, or Supervision policy and procedure writing experience and background is preferred.

Key qualifications include:

  • A passion for policy writing, and in-depth policy and procedure writing experience, including industry best practices, standards and methods

  • Exceptional writing skills, the ability to draft policies in a clear and concise manner

  • Ability to develop strong and effective working relationships and establish trust with peers and leaders, internal and external business partners

  • Attention to detail when writing in order to drive standardization - ensure appropriate use of standardized templates and consistent use and style of language, adopting one voice

  • Build and support partnerships with subject matter experts and leadership, business unit stakeholders, project managers, and Compliance and Legal liaisons to identify patterns, potential emerging trends and to determine policy and procedure needs

  • Must be a self-starter and comfortable operating independently, and be able to navigate with autonomy; must proactively manage up, provide updates on progress, re-confirm priorities, and seek to clarity/help in the event of roadblocks

  • Translate complex, technical and regulatory driven information into easy to easy to understand, and easily implemented documents

  • Employ writing and publishing strategies that create deliverables that are focused on the user experience

  • Manage multiple projects and deliverables while maintaining appropriate goals, timelines, and deadlines

  • Balance priorities and adjust to meet changing work demands

  • Proactively work with team members and business partners to uncover, understand, and address policy and procedure needs

  • Collaborate with publishing partners to ensure consistency and effectiveness for the end user

  • Perform research and due diligence to identify risk and control gaps, address potential conflicting information, areas needing clarity, and ensure accuracy to current business practices

  • The ability to demonstrate ownership and accountability and drive actionable results, at speed, yet in alignment with our strategy – will need to carefully balance execution at speed with creating high quality, risk-based, transparent, and achievable policies and procedures

  • Strategic in thought, practical in approach (balance strategic vs. tactical)

  • Able to assess the impact on policies and procedures in the event of business or regulatory changes, and

  • The ability to prioritize and maintain focus on key priorities

  • Critical thinker with strong analytical skills

What you have

  • Bachelor’s Degree required, JD a plus

  • 5-8+ years’ experience in financial services, broker/dealer and/or RIA

  • 5-8+ years of business policy and procedure writing, preferably in retail financial services, broker/dealer, and/or RIA

  • Strong analytical skills, passion for analysis

  • Compliance, legal, or regulatory background a plus

  • Exceptional attention to detail and strong drafting and editing skills

  • Highly organized and efficient approach; able to work effectively under pressure, and to prioritize and meet deadlines

  • Possess in-depth familiarity with industry policy standards and methods

  • Basic knowledge of rules/regulations within the wealth management / retail brokerage industry

  • Team player with strong communication skills

  • Basic knowledge of rules/regulations, 3 lines of defense, supervision principles, methodologies and tools, and governance principles within the wealth management / retail brokerage industry

  • General understanding of risk management, supervision, and compliance

  • Innovative, positive attitude, proactive, professional, strong work ethic with high level of integrity and ethics and commitment to excellence

  • Ability to operate in a fast paced environment and demonstrate sound judgment

  • Knowledge of Schwab Investor Services business is a plus

  • Mastery of Microsoft Office tools (PowerPoint, Excel, Word, Access)

  • Series 7, 9/10 or 24 is preferred, but not required

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. Explore further (https://content.schwab.com/web/retail/public/about-schwab/charles_schwab_recruitment_guide_2020.pdf) .

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here (https://www.aboutschwab.com/EEO) to see the policy.

Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at applicantaccessibility@schwab.com or call 800-275-1281 (tel:800-275-1281) .

TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.

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. Explore further (https://content.schwab.com/web/retail/public/about-schwab/charlesschwabrecruitmentguide2020.pdf). Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here (https://www.aboutschwab.com/EEO) to see the policy. Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at applicantaccessibility@schwab.com or call 800-275-1281. TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.

DirectEmployers