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

Preferred Qualifications

• Demonstrated success in transforming organizations into a highly collaborative environment to influence compliance and controls while building strong internal and external partnerships and providing guidance to varied stakeholders.
• Relationship-oriented executive who manages complex, multistakeholder issues with resilience, embraces others' perspectives and understands the limits to their own points of view.
• Possesses 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

Vivid day-to-day evidence of enterprise-wide thinking, bringing the full Schwab Compliance perspective to every aspect of the job, including exceptional collaboration and boundaryless cooperation with peers on the Schwab Compliance Team demonstrating the lived values of #OneSchwab and #OneSchwabCompliance.

Schedule

At Schwab, you're empowered to make an impact on your career. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

Pay

At Schwab, you're empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.