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 industry landscape. 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.
• 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, along with 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.

Preferred Qualifications

• A relationship-oriented leader who manages complex, multistakeholder issues with resilience, embraces others' perspectives, and understands the limits of their own points of view.
• A clear, independent risk management perspective aligned with the Board-approved risk appetite.
• Persuasive communication skills, delivering clear, concise, and impactful verbal and written communications.
• A strategic thinker who anticipates implications and consequences of situations and prepares for possible contingencies.
• Ability to think creatively to streamline or reimagine existing processes and influence to drive a vision while considering stakeholders' needs and requirements.
• Series 7 and 24 licenses.