Director of Regulatory Relations & Audit Management

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Job ID:
20170503-2198
Job Category:
Information Technology
Relevant Work Experience:
IT-Management/Technical Project Mgmt-less than 2 yrs
Current Licenses / Certifications:
None
Position Located In:
AZ - Phoenix
Education:
BA/BS
Job Type:
Full Time
Description:

Phoenix - AZ, PHX4750A, 4750 E Francisco, 85044-5359
Julie Rulis
20170503-2198

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Culture:

Through Clients’ Eyes: https://www.youtube.com/watch?v=Qkic76FWat8

Our Opportunity:

The Information Security Risk Management (ISRM) team sets and monitors the implementation of risk-based policies and enhances the firm’s IT control environment.

As the Director of Regulatory Relations & Audit Management, you will play a key role on the ISRM leadership team.  You will demonstrate a combination of program management, technical and relationship management abilities that require you to quickly shift from tactical execution to strategic thinking. You will be ISRM's point of contact for regulatory and audit activities and will be responsible for creating, maintaining, and monitoring a formal regulatory and audit program for Information Security Risk Management.

What you’ll do:

  • Establish a formal Regulatory and Audit Program within Schwab’s broader ISRM Program
  • Develop processes and procedures to govern the Program
  • Create value added reports and dashboards to measure performance of the Program
  • Liaise with various internal stakeholders across Information Technology, Regulatory Office, Internal Audit, etc.
  • Streamline existing audit and regulatory preparation activities
  • Evaluate regulatory and audit items, and provide recommendations on the best remediation approach (project vs. base business)
  • Provide leadership in the planning and execution of regulatory, audit, and internal audit activities
  • Proactively identify areas requiring attention or strengthening and work collaboratively with cross-functional partners to implement improvements in line with applicable regulations, and/or internal policies
  • Lead multiple concurrent regulatory &/or audit activities through coordination with internal stakeholders
  • Facilitate cross-organizational meetings to ensure progress in on plan to target develop and/or coordinate content development to facilitate Program events
  • Ensure timely closure of all follow-up questions originating from Program activities Monitoring & Tracking
  • Identify changes in regulatory environment and facilitate gaps assessment against current state
  • Develop annual schedule of Program activities and monitor progress
  • Research and analyze regulatory trends and evaluate applicability or risk exposure
  • Develop value added metrics, communications, and executive dashboard to measure Program performance and demonstrate value

What you have:

  • Bachelor's degree preferred
  • Experience working in a highly regulated environment and interfacing with regulators and auditors
  • Preferably 7+ years of experience in an IT, Project Management, Operational Risk Management, Compliance, and/or IT auditing role
  • Strong foundation in Project Management with PMP certification (or similar)
  • Previous experience in the Financial Services industry
  • Demonstrated success working within Risk Management Programs
  • IT certifications desired, but not required: CISSP, CISM, CISA, etc.
  • Knowledge of law and regulations surrounding the financial services sector is a plus
  • Ability to recognize project barriers and resolve them effectively
  • Ability to adjust communication style/content to interact with IT, business professionals, and regulators
  • Strong interpersonal, analytical, problem-solving, prioritization, facilitation, influencing, organizational skills and attention to detail

What you’ll get:
 

  • Comprehensive Compensation and Benefits package
  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
  • Not just a job, but a career, with an opportunity to do the best work of your life

 


Learn more about Life@Schwab.


Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: IT-Management/Technical Project Mgmt-less than 2 yrs
Position Located In: AZ - Phoenix
Education: BA/BS
Job Type: Full Time

Category:Information Technology
Activation Date: Thursday, June 1, 2017
Expiration Date: Saturday, August 19, 2017
Apply Here
Apply Now    

Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.

At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab’s hiring decisions. All other submissions should be performed online.

The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC , offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products.