At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the Westlake, TX location.
The Regulatory Liaison Office’s (RLO) mission is to drive an informed, efficient, and effective regulatory engagement program by serving as a central point of contact for all regulatory risk matters. The RLO’s vision is to be a trusted liaison with Schwab business partners and with our regulators by encouraging clarity, communication and credibility to support Schwab’s businesses as they help our clients Own Their Tomorrow.
The Regulatory Exam Team is responsible for the coordination of regulatory activities, supervising regulatory developments, and to aid the analysis or response to proposed and new regulations or supervisory guidance. This role, reporting to the Managing Director, will support the financial regulatory focus including first and second line Finance, Corporate Risk Management and include engagement with Executive and Senior management.
Responsibilities include:
Serve as subject matter expert on the supervisory expectations for capital, liquidity, market and interest rate risk
Serve as the primary point of contact between the regulators and internal stakeholders while managing exams, inquiries and other regulatory matters in accordance with enterprise-wide standardsTrack and analyze regulatory developments applicable to SchwabProvide ongoing consultation to executives on internal risk and performance practicesIn coordination with colleagues, advising the company regarding the impact of proposed and new regulations or supervisory developmentsAssist in special projects and other regulatory examinations of subsidiaries What you have
To ensure that we have fulfilled our promise of "challenging the status quo," this role has specific qualifications that successful candidates should have.
Required Qualifications:
Bachelors degree or equivalent experience required.7+ plus years of regulatory experience with a prudential financial regulator or working in a financial institution in Treasury or Financial Risk Oversight functions.Expert knowledge of regulatory examination framework, regulatory laws, supervisory guidance and effective risk management practices and the applicability to a large financial firm pertaining to capital, liquidity, market and interest rate risk
Preferred Qualifications:
Strong interpersonal and communication skills to develop and maintain relationships with key business partners and at all levels of the firmExcellent judgment and critical thinking in order to provide sound strategic advice to business partnersExcellent quantitative skills and expertise
In addition to the salary range, this role is also eligible for bonus or incentive opportunities
Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.
Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Application FAQs
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