Senior Manager, Regulatory and Supervisory Change Management
About The Position
At Schwab, the Senior Manager, Regulatory and Supervisory Change Management works as a Relationship Manager within the Supervisory Change & Readiness Team (SCRT), part of Retail Supervision and Risk Management (RSRM). RSRM provides independent supervisory oversight and risk guidance in support of Schwab’s Investor Services organization, while SCRT leads strategic initiatives to strengthen supervisory programs and address evolving business and regulatory needs. The role guides initiatives through the supervisory change lifecycle by assessing supervisory and regulatory impacts and partnering with leaders across business, risk, compliance, technology, operations, and product teams. The Relationship Manager helps design scalable controls, governance, and monitoring frameworks; translates business strategy into practical supervisory solutions; influences cross-functional decisions; and provides actionable recommendations that balance innovation, growth, and risk management. This highly visible position supports Schwab’s response to new products, technologies, regulations, and business priorities, connecting strategy to execution and strengthening supervisory frameworks. It offers exposure to senior leaders and enterprise-wide initiatives, as well as opportunities to develop expertise in risk management, supervision, change leadership, and financial services.
Requirements
- Bachelor's degree or an equivalent combination of education and relevant experience.
- At least 5 years of experience in one or more of the following: financial services, wealth management, banking, broker-dealer operations, registered investment advisory services, risk management, compliance, legal, internal audit, regulatory examination, consulting, product management, technology delivery, or change management.
- Experience leading complex, cross-functional initiatives from planning and assessment through implementation and execution.
- Knowledge of wealth management, retail brokerage, banking, or financial services products, services, and regulatory environments.
- Experience conducting risk assessments, evaluating controls, documenting findings, and developing recommendations or business requirements.
- Strong written and verbal communication skills, including experience presenting recommendations, risks, and business decisions to senior stakeholders.
- Experience building relationships and influencing outcomes across multiple teams and organizational levels.
- Ability to analyze business and operational data to support decision-making and risk management.
- Proficiency with Microsoft 365 tools, including Excel, PowerPoint, Word, Teams, and SharePoint.
Nice To Haves
- Advanced degree such as an MBA, JD, or related graduate-level credential.
- Experience within wealth management, retail brokerage supervision, regulatory oversight, or investment advisory environments.
- Knowledge of supervisory programs, risk frameworks, controls management, or regulatory compliance practices.
- FINRA Series 7 and Series 9/10 or Series 24 licenses.
- Experience partnering with technology teams on workflow automation, reporting, data analytics, AI-enabled solutions, or technology modernization initiatives.
- Experience with project portfolio management, workflow, reporting, data visualization, governance, or supervisory technology platforms.
- Experience leading organizational change, readiness, or large-scale business transformation efforts.
Responsibilities
- Guide critical business and regulatory initiatives through the supervisory change lifecycle by assessing supervisory impacts.
- Coordinate enhancements to governance materials, controls, procedures, training, and communications.
- Partner with business, risk, compliance, technology, operations, and product teams.
- Help design scalable controls, governance, and monitoring frameworks.
- Translate business strategy into practical supervisory solutions and influence cross-functional decisions.
- Provide actionable recommendations that balance innovation, growth, and risk management.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
