About the position
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. DAFgiving360™ is an independent nonprofit organization created to increase charitable giving in the U.S. We offer a donor-advised fund program and related philanthropic tools and guidance that empower donors to incorporate charitable planning into their everyday lives and make a bigger difference in the world. Since our founding in 1999 as an 501(c)(3) public charity, DAFgiving360 donors have recommended over $40 billion in grants to more than 270,000 charities. DAFgiving360 has entered into a services agreement with Charles Schwab & Co., Inc. for administrative and other services, including human resources. This position will be an employee of Charles Schwab & Co., Inc. and will be subject to its policies and procedures but will report to and be accountable to DAFgiving360 for day-to-day activities. DAFgiving360™ is seeking a Sr. Manager to provide 2nd line Risk Management oversight of business processes and administer key elements in support of its Enterprise Operational Risk and Compliance strategy. The successful candidate will report to the Director, Risk Management and Compliance for DAFgiving360™. This role involves overseeing all business risk activities for assigned business units, identifying potential areas of compliance vulnerability and risk, providing independent effective challenge and helping the business to develop corrective action plans. The Sr. Manager Compliance will work closely with various departments to ensure policy and standards are established and followed to promote a culture of compliance throughout the organization.
Responsibilities
- Working with the partners (e.g. Legal team) to monitor and ensure DAFgiving360™'s compliance with regulatory requirements and internal policy and standards
- Working with the risk team to identify potential areas of vulnerability, risk and/or opportunities to enhance compliance within DAFgiving360™
- Driving development of monitoring and testing plans, identification of key and enterprise risks, and development of policy, standards, and other associated documentation
- Implementing and executing DAFgiving360™'s Risk Management program
- Developing and enhancing risk metrics and reporting
- Working with Service & Operations, Digital Solutions, and Marketing teams
- Collaborating closely with business stakeholders to identify and implement opportunities for improvement for the DAFgiving360™'s risk and compliance programs
- Carrying out other duties as assigned, including, but not limited to, business strategic project work
Requirements
- Bachelor's Degree focusing on Finance, Law, Business Administration, or related field
- 8 + years of financial industry experience
- 4 + years of direct compliance or risk program management experience
- Excellent written and verbal communication skills; with demonstrated ability to deliver verbal and written communications that are clear, concise, and impactful with their intended audiences
- Ability to interpret and apply complex regulations
- Advanced proficiency in Microsoft 360 programs (Word, PowerPoint, Excel, SharePoint, etc.)
- Ability to independently identify opportunities for improvement and enhance Risk and Compliance programs
- Exceptional attention to detail and proven ability to manage multiple, competing initiatives simultaneously
- Excellent interpersonal, relationship building, and change management skills
- Strong emotional intelligence and executive presence
Nice-to-haves
- Advanced degree (e.g., JD, MBA)
- Experience developing risk and compliance programs, inclusive of monitoring, testing and reporting
- Experience interpreting regulatory guidance and assessing compliance risk
- Experience in the Broker-Dealer and RIA space with a major brokerage firm
