Senior Team Manager, Retail Business Unit Risk

About the role

The Senior Team Manager, Retail Business Unit Risk is a critical leadership role within Schwab's Investor Services organization. This role oversees the Investor Services business risk profile, partnering closely with senior leaders to proactively identify, assess, and manage risk.

Responsibilities

• Oversee the Investor Services business risk profile
• Partner with senior leaders to proactively identify, assess, and manage risk
• Ensure strong controls and alignment with regulatory and firm standards
• Lead a high-performing team of risk professionals
• Span a broad and dynamic portfolio including risk identification and oversight, 1st line sing alignment, operational and third-party risk coordination, audit engagement support, and governance across key areas such as New Products, Conflicts of Interest, Disclosure Risk, and policy implementation
• Carry accountability for team performance, development, and delivery
• Build strong, trusted relationships across the business and with 1st, 2nd, and 3rd lines of defense including Internal Audit, Compliance, and sing partners
• Evolving teams and risk programs through AI fluency and AI-enabled tools and technology to enhance insights, efficiency, and scalability across the control environment

Requirements

• 10+ years relevant financial services experience, including broker dealer and retail experience
• 8+ years supervisory, risk, audit, control, or compliance experience in similar financial service industry
• Ability and experience in leading teams of experienced professionals
• Significant experience with risk, controls and related GRC tools
• Experience with functional areas such as Conflicts of Interest, Disclosure Risk Management, New Products and policy review, including experience in standing up functional processes from concept to standard operation
• Demonstrated AI fluency and experience leveraging tools and technology to enhance risk identification, monitoring, and supervisory practices (e.g., data analytics, automation, or AI-enabled solutions)

Preferred Qualifications

• Professional experience leading and engaging with teams, creating a positive, flexible, and proactive culture
• Strong communication, influencing, and presentation skills
• Highly effective organizational and time management skills
• The ability to work on multiple projects and prioritize based on regulatory risk and business needs
• Responded to changes in the business and/or regulatory environment by actively recommending changes to existing policies and procedures
• Responded to findings and remediation plans as appropriate and track through to completion
• Strong attention to detail and the ability to identify core and root cause of gaps and weaknesses
• Implemented regulatory change initiatives across the business in a manner that balances the control requirements with field experience
• Series 7 and other relevant licenses preferred (willingness to obtain)

Benefits

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. We offer a competitive benefits package that takes care of the whole you - both today and in the future:

• 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