Senior Manager, Retail Retirement Compliance

About the role

The Senior Manager will support and advise business partners and leaders in advancing retirement compliance work, fostering a culture of compliance in an evolving space. They will partner with Compliance colleagues to represent 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 supporting 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.
• Actively challenge business partners when appropriate.
• Execute 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, with a focus on delivery and execution.
• Client-focused; able to build relationships and establish trust, respect, competence, and confidence effectively and quickly.
• A degree or equivalent experience is required; post-secondary degree (e.g., JD, MBA or equivalent) viewed favorably.

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 verbal and written communications that are clear, concise, and impactful with their intended audience.
• 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.