RCSA Program Manager

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Job ID:
0320-39530
Job Category:
Risk Management
Relevant Work Experience:
Internal Audit, Risk Analysis
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
Brittany Steichen
0320-39530

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.

Banking & Trust Services (BTS) is the business enterprise within Schwab overseeing Charles Schwab Bank and the Charles Schwab trust companies.  The BTS organization offers deposit, loan and trust products to Schwab clients who are looking for holistic wealth management solutions that complement their brokerage activities.  The integrated banking and brokerage services represent the strong value proposition we offer our clients. 

Charles Schwab Bank is a full-service bank that offers a range of competitive deposit and lending products.  In 2003, we launched Schwab Bank as a bank for investors, and it has grown to be the 12th largest bank in the United States.  Our goal is to offer a banking experience that complements the Schwab brokerage capabilities, providing banking products tailored to meet our clients’ unique needs as investors, all in one convenient location.  Consistent with the brand, we offer exceptional client experience.

Our Opportunity:

The Risk Control Self-Assessment “RCSA” Program Manager is responsible for managing the Risk and Control Self-Assessment program for all of Schwab Banking and Trust Services (BTS) First Line of Defense (FLOD) groups and will be the steward of effective risk-based internal controls, driving accurate information for use by key stakeholders and oversight partners.  The role requires expertise in banking regulations, risk management, controls, and supervisory/oversight procedures.  The RCSA Program  Manager plays a key role in ensuring that operational controls are identified and working effectively.  Charles Schwab Banking and Trust Services follow the three lines of defense model of risk governance.  The RCSA Program Manager is a first line of defense (FLOD) position for Charles Schwab Banking and Trust Services and assures compliance with all Bank policies and procedures, as well as all applicable state and federal banking regulations in the context of their responsibilities.

What you’ll do:

The RCSA Program Manager will create and maintain the first line of defense RCSA framework and provide management support and operational assessment to continuously improve internal controls working closely with the business unit teams. 

  • Execute the Banking and Trust Services (BTS) 1st LOD RCSA program.  Leveraging policies and procedures, document process in a program document
  • Support the strategic plan and culture of risk and compliance through the enhancement and execution of the RCSA program
  • Participate in Risk Control Self-Assessment Workshops with the business unit owners to identify opportunities for improvement to their documented RCSA
  • Collaborate with the business to identify areas with opportunities to enhance risks and controls and ensure they can be evidenced
  • Ensure all Risk Management required framework updates are incorporated within the RCSA Program framework and completed timely
  • Partner with Corporate Operational Risk, Compliance, and other 2nd line groups to ensure business risks are included in the RCSA
  • Support RCSA projects, prioritize and identify key messages to present to management to drive change
  • Support BTS Issue and Action Plan closure process by evaluating appropriateness of Control remediation
  • Effectively partner with BTS stakeholders, oversight and controls and subject matter experts to effectively understand standards, policies and federal and regional regulatory requirements
  • Respond to required corrective action potential issues from 2nd line and internal audits in a timely and concise manner regarding the Risk Control Self-Assessment process and content within
  • Stay abreast of industry emerging trends pertinent to BTS to facilitate a more proactive approach to risk identification and mitigation

Other duties include:

  • Identify and implement improvement opportunities to ensure accuracy and/or improve efficiency of all RCSA framework processes
  • May travel to review operational processes

What you have:

  • Expertise in retail banking operations and financial regulations
  • 5+ years of experience in retail banking specifically in RCSA, internal audit, internal control testing
  • Professional certification preferred but not required (CRCM, CIA, CCSA)
  • Exceptional communication skills both verbal and written, attention to detail and ability to target a wide range of audiences with credibility
  • Experience in assessing end to end processes to identify operational risk
  • Ability to evaluate and determine the adequacy of controls
  • Inquisitive and proactive in identifying risks and proposing solutions
  • Flexible, with the ability to manage multiple and shifting priorities in a dynamic work environment 
  • Strong collaboration, partnership and influencing skills, ability to effectively contribute to a team
  • Outstanding knowledge of Microsoft Excel, PowerPoint and Visio
  • Bachelor’s Degree required; Advanced degree 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: Internal Audit, Risk Analysis
Position Located In: AZ - Phoenix
Education: BA/BS
Job Type: Full Time

Category:Risk Management
Activation Date: Tuesday, March 20, 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.