Senior Manager, Retail Policy Governance
HybridAustin, Texas, United States or Orlando, Florida, United States
Job Summary
Lead strategic policy initiatives for Schwab's Retail Policy Framework by partnering with senior business, legal, and compliance leaders to transform complex regulatory requirements into practical, scalable procedures. Establish policy standards and best practices across business lines, translating intricate regulatory information into clear, uniform language that supports business growth and innovation. Build strong relationships with internal stakeholders to coordinate working groups, develop metrics for transparency, and provide credible, risk-based challenges to ensure alignment with evolving industry standards.
Required Qualifications
- Bachelor's Degree
- 8-10 years of experience in the broker-dealer financial services industry
- at least 5 years developing and maintaining compliance policies and procedures for a broker-dealer and/or RIA
- preference within retail financial services
- Series 7, 9/10, or 24
- Strong regulatory knowledge of broker-dealer and advisory rules and regulations
- Ability to quickly learn the business, connect regulatory and policy requirements to day-to-day operations, and develop policies and procedures that are easy to understand and be practically applied
- Exceptional attention to detail
- proven ability to manage multiple, competing initiatives simultaneously
- Highly organized and efficient
- Ability to manage multiple competing priorities
- Possess in-depth familiarity with industry policy standards and methods
- Persuasive communication skills
- demonstrated ability to deliver verbal and written communications that are clear, concise, and impactful with their intended audience
- Strategic thinker
- proactively engages
- asks thoughtful questions
- anticipates downstream impacts
- develops contingency plans to effectively navigate complex and evolving situations
- Innovative, positive attitude
- professional, strong work ethic
- high level of integrity and commitment to excellence
- Ability to think creatively to streamline or reimagine existing processes and influence to drive a vision while being mindful of stakeholders' needs and requirements
Desired Qualifications
- JD a plus
- preference within retail financial services
- Series 7, 9/10, or 24
- Experience and passion for policy writing, adopting clear and uniform language
- Provides credible challenge, grounded in a deep understanding of risk, regulatory expectations, and industry standards/practices
- Demonstrates a track record of developing and executing on a plan within agreed timelines, manages expectations, and communicates in the event of any plan changes
- Coordinates and effectively leads working groups
- Develops and effectively communicates metrics and reporting to ensure transparency of policy related initiatives
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