Sr. Manager, Compliance Policies & Standards

Charles Schwab • Orlando, FL

134d

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. The Compliance Reporting, Communications and Policies (CRCP) Team oversees all aspects of compliance reporting, manages employee compliance communications, and governs the development and maintenance of compliance policies and standards. As a Senior Manager, you will lead the creation and oversight of enterprise-wide compliance policies and standards, ensuring alignment with Schwab's risk management framework and regulatory expectations. This role offers a unique opportunity to shape the future of compliance through a challenger mindset, strategic influence, cross-functional collaboration and policy content.

Requirements

• 8+ years of experience in compliance or risk management within a broker-dealer, registered investment adviser, or banking institution.
• 3+ years of hands-on experience drafting and managing compliance or risk policies and standards.

Nice To Haves

• Ability to build strong relationships with Schwab Compliance leaders and subject matter experts.
• Deep understanding of regulatory frameworks and the ability to translate changes into actionable policy updates.
• Familiarity with risk management software.
• Exceptional attention to detail and ability to manage multiple priorities effectively.
• Proven communication skills—clear, concise, and tailored to diverse audiences.
• Strategic mindset with the ability to anticipate challenges and develop proactive solutions.
• Strong interpersonal and change management capabilities.
• Bachelor's degree preferred.
• Proficiency in Microsoft Office Suite (Word, PowerPoint, Excel, SharePoint).

Responsibilities

• Lead Policy Governance: Drive the end-to-end creation, review, and refinement of Schwab's Compliance policies and standards, ensuring consistency, clarity, and alignment with enterprise-level requirements.
• Provide strategic reporting and insights to risk governance committees to support informed oversight and decision-making.
• Champion Clarity and Impact: Identify opportunities to enhance the readability and effectiveness of compliance documentation, making complex concepts accessible and actionable.
• Establish Best Practices: Develop and maintain procedures, job aids, templates, and tools that promote consistency and excellence across the Compliance function.
• Enable Change Readiness: Assess the impact of policy updates and lead broad-based communication and training initiatives to ensure seamless adoption across the organization.
• Collaborate Across Functions: Partner with compliance subject matter experts, corporate risk colleagues, and First Line of Defense business teams to ensure policies reflect operational realities and strategic priorities.
• Drive Strategic Communication: Design and execute communication strategies and training plans that support policy implementation and reinforce a culture of compliance.

What This Job Offers

• Career Level: Senior
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree