Senior Manager, Retail Policy Governance

Charles Schwab Inc. • Orlando, FL

2d • $130,000 - $200,000 • Hybrid

About The Position

At Schwab, you are 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. Please note: This position is M-F during standard business hours with a hybrid work model (4 days in-office, 1 day working from home). It is only available in the areas listed. Candidate must reside or be willing to relocate on their own to one of the listed areas. Applicants must be currently authorized to work in the United States on a full-time basis without employer sponsorship.
Retail Supervision and Risk Management (RSRM) 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 Supervision and Risk Management’s 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.
As Senior Manager, Retail Supervision & Risk Management (RSRM) Policy Governance, you will have the unique opportunity to help shape and evolve Schwab's Retail Policy Framework and influence how the firm navigates an increasingly dynamic regulatory and business landscape. Partnering with senior business, risk, legal and compliance leaders across the organization, you will lead strategic policy initiatives, transforming complex requirements into practical, scalable, and business-friendly policies and procedures that enable business growth, innovation, and the ability to serve clients with confidence.
As Schwab advances AI-enabled capabilities, digital experiences, and new business offerings, you will play a key role in shaping modern policy and procedure frameworks that enable innovation, support business growth, and align with regulatory expectations. This role is ideal for a strategic, highly engaged leader who thrives in a fast-paced environment, enjoys solving complex problems, and leverages regulatory expertise and industry knowledge to drive best practices, influence policy design, and balance innovation, client experience, and regulatory expectations through a thoughtful, risk-based lens.

Requirements

• Bachelor’s Degree required, JD a plus
• 8-10 years of experience in the broker-dealer financial services industry, including at least 5 years developing and maintaining compliance policies and procedures for a broker-dealer and/or RIA, preferably within retail financial services
• Strong regulatory knowledge of broker-dealer and advisory rules and regulations
• Ability to quickly learn the business, connect regulatory and policy requirements to day-to-day operations, and develop policies and procedures that are easy to understand and be practically applied
• Exceptional attention to detail and proven ability to manage multiple, competing initiatives simultaneously
• Highly organized and efficient, able 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 proactively engages, asks thoughtful questions, anticipates downstream impacts, and develops contingency plans to effectively navigate complex and evolving situations.
• 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

Nice To Haves

• Series 7, 9/10, or 24 is strongly preferred

Responsibilities

• 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
• Translates complex regulatory information into business policies and procedures that are easy to understand and adhere to
• 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 This Job Offers

• Job Type: Full-time
• Career Level: Senior