VP, Technology & Third Party Operational Risk Management

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Job ID:
20180108-175
Job Category:
Risk Management
Relevant Work Experience:
Risk Analysis
Current Licenses / Certifications:
None
Position Located In:
TX - Westlake
Education:
BA/BS
Job Type:
Full Time
Description:

Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616
Lee Ann Leonhart
20180108-175

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 Opportunity:

Reporting to the Senior Vice President of Operational Risk & Insurance, the Vice President of Technology & Third Party Operational Risk Management will lead a two teams (of approximately 5-8 individuals) within Operational Risk team as well as indirectly (dotted line relationship) lead a broader group of technology risk oversight professionals.  The candidate will be responsible for building out, implementing and executing an information technology risk management (ITRM) framework within the second line of defense across the enterprise. The qualified candidate will also be responsible for the continued build out of the third-party risk management (TPRM) program which began in 2016, but continues to mature.  Additional responsibilities specific to ITRM include:

  • Developing a successful implementation plan consisting of:
    • Developing an ITRM Framework,
    • Performing a gap analysis on working currently being done and future state and defining a risk-based approach for remediating gaps,
    • Establish risk governance protocols, including identifying and developing policy, where appropriate,
    • Developing risk reporting, including risk metrics, for dissemination to both 1st line of defense (technology) leadership and risk management committees
    • Streamlining processes for risk identification and assessment, control assessment and testing and issue management supporting Schwab’s operational risk management structure
  • Collaborating to better educate and strengthen the relationship between ITRM efforts and 1st line of defense technology teams
  • Provide oversight and direction to team responsible for the build-out and ongoing processes established for third-party risk
  • Collaborate with Corporate Vendor Management on joint priorities enhancing the third-party risk profile of the Firm.
  • Enhance existing risk reporting, including the further build out of risk metrics provided to the Third-party Risk Management Subcommittee, Operational Risk Oversight Committee and the Board Risk Committee
  • Developing a solid and positive working relationship with colleagues in other risk and control functions as well as other business units to ensure the program is effectively and efficiently implemented enterprise-wide
  • Partnering with management to help drive focus on mitigation of risk, including implementation of management action plans to address open operational risk issues
  • Partnering with 1st line of defense leadership to identify, assess, monitor and control their businesses existing and emerging operational risk while challenging the effectiveness of their response to changes in the risk environment

Ideal Profile:

The successful candidate must be fully committed to serving the needs of clients, employees, and shareholders.  He/she will bring a strong leadership presence supporting the brand through strong organizational and communication skills and will be effective establishing and obtaining commitment to business goals, while constructively motivating people and implementing strategies to achieve superior business results including quality and productivity.   

  • Minimum of seven years of senior level technology risk management experience within a diversified financial services environment and minimum of five years leading a substantial team within the risk management function.
  • Working knowledge of both the System Development Lifecycle Vendor Management Lifecycle
  • Strong working knowledge of operational risk oversight, corporate program development, maintenance for risk assessment and testing.
  • A depth of knowledge of IT Risk frameworks and methodologies such as COBIT, ISO 27005, ISO 27001/27002, and/or NIST 800-53
  • A depth of knowledge of regulatory requirements and guidance related to third-party risk management as identified by the Federal Reserve Board, Office of the Comptroller of the Currency or Federal Financial Institutions Examination Council
  • Experience in operations covering multiple job processes and comprehensive knowledge of related regulatory requirements while making sound, timely decisions in managing the operations of high-visibility channels.
    • Capable of leading complex, cross-functional initiatives with milestones that are delivered on time.
    • Possess strong communication and presentation skills to articulate risk management perspective to senior level executives EVPs, SVPs.
    • Commands a comprehensive understanding of technology and third-party trends impacting risk assessment programs in a diversified financial services firm.   
    • Maintains strong problem solving and creative skills and the ability to exercise sound judgment, making decisions based on accurate and timely analyses.
      • Strong emotional intelligence/maturity and senior level executive presence.
      • Thrives on initiating, building and cultivating strong relationships inside and outside; highly collaborative; navigates and activates alignment across organizational silos as well as the enterprise as a whole.
      • Exceptionally client focused; able to effectively and quickly build relationships and establish trust, respect, competence and confidence.
      • Bachelor degree required; advanced degree preferred.

 Benefit Highlights: 

  • Comprehensive Compensation and Benefits package
  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: 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. 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.


Job Specifications
Relocation Offered?: Yes
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Risk Analysis
Position Located In: TX - Westlake
Education: BA/BS
Job Type: Full Time

Category:Risk Management
Activation Date: Wednesday, January 24, 2018
Expiration Date: Thursday, March 1, 2018
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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.