Director, Artificial Intelligence Compliance

About the role

The Director, Artificial Intelligence Compliance is a new role within Schwab Compliance. This role engages through disparate regulated entities and requires facility with multiple subject matter disciplines, including broker/dealer, investment adviser, banking, and others.

Responsibilities

• Helps shape the strategic direction of the companywide compliance risk management programs.
• Shares the same measures of success as all Schwab Compliance Directors, including personal ownership of their assigned compliance risk management program and shared accountability for the successful execution of the Schwab compliance risk management program.
• Engages with Senior and Executive Leaders at all levels across Schwab, and also is responsible for leading Schwab Compliance’s engagement with specific key stakeholders based on their assigned business support responsibilities.

Requirements

• Minimum 10 years of related work experience in compliance, and risk management and anti-money laundering.
• A minimum of 5 years working with technology governance.
• Deep competencies in relevant financial services; securities laws and regulations; banking laws and regulations; consumer protection; anti-money laundering and privacy.
• Embraces an enterprise view in identifying, assessing, mitigating, measuring, and monitoring Compliance risks consistent with the Enterprise Risk Management Framework.

Qualifications

• A degree is required, preferably in Business/Finance/Economics or related disciplines, post-secondary degree, e.g., JD, MBA or equivalent, viewed favorably.

Skills

• Required to model and exhibit enterprise-wide thinking and exceptional collaboration to support Schwab's business.
• Ability to find balance in developing programs effectively meet potentially differing regulatory requirements and expectations while being workable for business partners.
• Exceptional communicator able to listen and influence across channels with a purpose.
• Possess strong business drivers and perspectives combined with broad management and commercial skills, and an ability to bring a strategic focus to the function and be capable of adding value to the business.
• Client focused; able to build relationships and establish trust, respect, competence, and confidence effectively and quickly.

Benefits

• 401(k) with company match and Employee stock purchase plan.
• Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions.
• Paid parental leave and family building benefits.
• Tuition reimbursement.
• Health, dental, and vision insurance.

Pay

Competitive compensation package.

Schedule

Hybrid Work and Flexibility approach.