Director – Operational Risk Management

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Job ID:
20180126-542
Job Category:
Risk Management
Relevant Work Experience:
Financial Services-6+ yrs, Internal Audit, Banking-6+ yrs, Risk Analysis, Brokerage Operations-6+ yrs, Compliance
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
Brian Parker
20180126-542

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:

In Operational Risk Management, our vision is to minimize operational risk impacts across the firm, and all its subsidiaries and affiliates, with a purpose to govern, oversee, and continually improve the operational risk program through supporting and challenging our business partners, and raising risk awareness and understanding to improve risk based decision making.

Reporting to the Managing Director of Operational Risk Management, this role will perform various duties in support of the firm’s Risk and Control Self-Assessment (RCSA) Program.  Activities will include developing and implementing strategies to mature the RCSA Program and leading initiatives in pursuit of the same, performing reporting and analysis of RCSA information to support objectives around the accuracy and completeness of RCSA content, participating in the execution of established routines and procedures related to the RCSA Program, and supporting the administration of the Global Risk Committee and Operational Risk Oversight Committee meetings.

What you’ll do:

  • Display and utilize knowledge of industry, guidelines, laws and regulatory practices/expectations related to administration of RCSA type programs to manage key initiatives associated with maturing the firm’s RCSA Program.
  • Perform reporting and analysis of RCSA information to identify gaps in the completeness and accuracy of RCSA content as well as risk trends in need of escalation to business units, risk management committees or Operational Risk Management leadership. 
  • Establish, implement, and manage an RCSA content review program to support accuracy and completeness of information in line with RCSA Program parameters.
  • Perform QA responsibilities related to RCSA Oversight, program support and issue management.
  • Manage the development of UAT testing activities for enhancements associated with the technology platform that supports the RCSA Program.
  • Establish and maintain all RCSA related procedures, manuals and other standards documents.
  • Perform various activities in support of serving the RCSA community related to the RCSA Program.
  • Coordinate activities associated with the administration of the Global Risk Committee and the Operational Risk Oversight Committee that includes handling of meeting materials, tracking and monitoring meeting open issues, and performing wrap-up activities after each meeting.

What you have:

  • 5+ years of experience in financial services industry and risk management experience required, preferably in a risk, audit, or compliance role.
  • Strong organizational skills and great attention to detail in a rapidly changing environment.
  • Proficiency in risk and control data analysis, in particular, the ability to incorporate and understand mass information from a variety of sources to recommend a course of action.
  • Excellent presentation skills with the ability to inform and persuade both orally and in writing.  Should be comfortable and able to effectively facilitate meetings with all levels of management.
  • Adept at keeping up with industry and risk management evolution, and conceptualizing risk management principles into policy statements and program directives.
  • Sharp critical thinking skills (creative, strategic, and practical), ability to focus on the most vital areas, problem-solving skills, and strong business and relationship judgment.
  • Strong interpersonal skills/ability to develop relationships with 2nd Line of Defense groups, ORM team and RCSA Admin team.
  • Expert proficiency in all Microsoft Office applications, particularly Excel, Word, PowerPoint and Visio;  working knowledge of SharePoint; IBM OpenPages experience a plus.
  • Self-motivated, able to bring projects to conclusion within established timeframes.
  • Independent judgment with expert analytical and reporting skills.
  • BA/BS degree.  MBA strongly preferred.

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. 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?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Financial Services-6+ yrs, Internal Audit, Banking-6+ yrs, Risk Analysis, Brokerage Operations-6+ yrs, Compliance
Position Located In: AZ - Phoenix
Education: BA/BS
Job Type: Full Time

Category:Risk Management
Activation Date: Thursday, February 8, 2018
Expiration Date: Tuesday, May 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.