Senior Manager, Retail Retirement Compliance

About the role

The Senior Manager will support and advise business partners and leaders in advancing compliance work related to retirement channels. This includes representing the needs of Schwab Retail Retirement in broader enterprise initiatives.

Responsibilities

• Provide reliable, insightful, practical, and actionable feedback on retirements regulatory matters.
• Deliver effective challenge at all levels to influence how issues and concerns are addressed.
• Build and maintain working relationships with associated business leaders and partners in First Line Risk, Compliance, Legal, and other areas of Corporate Risk Management.
• Monitor, interpret, communicate, and apply new and existing regulations to the work of retirements business groups.
• Participate in projects that support the broader efforts of retirements compliance.
• Collaborate and coordinate with peers across Schwab Compliance, other Corporate Risk Management colleagues, internal audit, and first line of defense business partners.
• Challenging business partners when appropriate and executing other duties as assigned.

Requirements

• 7+ years industry experience, including at least 3 years in a Compliance or Risk role.
• Strong regulatory knowledge of broker-dealer standards and/or ERISA, fiduciary, and DOL guidelines, application, and documentation for qualified retirement plans and rollover recommendation requirements.
• Strong attention to detail and proven ability to manage multiple initiatives simultaneously, focusing on delivery and execution.
• A client-focused approach, capable of building relationships and establishing trust, respect, competence, and confidence.
• A degree or equivalent experience is required; a post-secondary degree (e.g., JD, MBA) is preferred.

Qualifications

• Relationship-oriented leader who manages complex, multistakeholder issues with resilience, embraces others' perspectives, and understands the limits of their own points of view.
• Provides a clear, independent risk management perspective in accordance with the Board-approved risk appetite.
• Persuasive communication skills, with a demonstrated ability to deliver clear, concise, and impactful verbal and written communications.
• Strategic thinker who can anticipate the implications and consequences of situations and take appropriate action to be prepared for possible contingencies.
• Ability to think creatively to streamline or reimagine existing processes and influence to drive a vision while being mindful of stakeholders' needs and requirements.
• Series 7 and 24 licenses.