Manager, Adviser Risk Oversight

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Job ID:
20180303-1430
Job Category:
Risk Management
Relevant Work Experience:
Financial Services-6+ yrs, Investment Management - 6+ yrs, Investment Management - 2-5 yrs, Financial Services-2-5 yrs, Risk Analysis
Current Licenses / Certifications:
None
Position Located In:
CO - Lone Tree
Education:
BA/BS
Job Type:
Full Time
Description:

Lone Tree - CO, DENR2, 9800 Schwab Way, 80124
Axle J Marcoline
20180303-1430

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:

Charles Schwab Investment Advisory, Inc. (“CSIA”), Windhaven Investment Management, Inc. (“WIM”), and ThomasPartners, Inc. (“TPI”) are affiliates of the Charles Schwab Corporation (“Schwab”) and are SEC-registered investment advisory firms serving individuals, trusts, retirement plans, foundations and endowments.

What you’ll do:

The Manager, Adviser Risk Oversight role will be responsible for helping support regulatory, supervisory, operational risk management (“ORM”), and other oversight functions across the three legal entities through direct engagement, hands-on analysis, and risk monitoring and assessments, and reporting out to executive management and governance committees at CSIA, WIM, TPI, and Schwab. The role will be a “first line of defense” trusted internal partner that promotes business growth and operational efficiency through effective operational risk management via robust governance structures; policies, procedures, and controls at the business unit level; and via compliance with regulatory and legal requirements as well as requirements put in place by our corporate parent, Charles Schwab. We strive to improve business outcomes by providing and managing, monitoring, and applying practical, consistent, effective, and unbiased risk management and guidance that is grounded in a deep understanding of business goals and risks as well as the regulatory and industry environment as a whole. 

Key Activities:

  • The role will focus on helping support regulatory and operational risk management and control issues applicable to the RIA affiliates of Charles Schwab, and will support senior team members who work with management, governance committees, and Legal and Compliance departments.
  • The candidate should possess knowledge of the legal, compliance, and regulatory aspects of the financial services industry in general, and of registered investment advisers in particular.
  • The role will assist Adviser Risk Oversight team members, senior management and governance bodies, and is expected to proactively support the processes and standards required to bring disciplined structure, risk management, and oversight to the firms.
  • The role will help analyze the effectiveness of risk management policies and procedures; identify emerging risk trends; gather data, conduct interviews, identify supervision issues, and conduct gap analysis; and develop and maintain written policies, procedures, and controls documents.
  • The role will participate in developing actionable proposals, present findings and recommendations to senior management and governance bodies of the firms in both written and verbal form, and drive implementation of key risk management initiatives.
  • The Candidate must be able to work across multiple organizations to drive change and buy-in by working with and influencing key business partners by building effective working relationships across the three affiliates and their parent organization.
  • The candidate must be capable of managing complex projects, maintaining accurate records of decisions, tracking and following up on those decisions, and be able to proactively and independently move projects forward.

What you have:

  • Bachelor’s degree required
  • Graduate degree, CFA, CFP, or Series 65 desirable but not required
  • 3+ years of experience in a risk, supervision/controls, compliance, or audit function
  • 5+ years of experience in financial services
  • Experience writing, maintaining, testing, auditing, and revising policies and procedures
  • Understanding and familiarity of laws and regulations within financial services
  • Experience analyzing data and preparing solutions based on sound facts and findings
  • Self-starter with can-do attitude who can build relationships and influence effectively within a matrixed organization
  • Ability to work independently and proactively, with minimum guidance
  • Ability to work on multiple projects simultaneously while prioritizing based on risk/business needs
  • Effective organizational and time management skills
  • Strong written and verbal communication skills; demonstrated presentation skills
  • Ability to think strategically with sharp analytical skills and strong attention to detail and accuracy
  • Mastery of Microsoft Office tools (PowerPoint, Excel, Word, Access)

What you’ll get:

  • Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
  • Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
  • 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: Financial Services-6+ yrs, Investment Management - 6+ yrs, Investment Management - 2-5 yrs, Financial Services-2-5 yrs, Risk Analysis
Position Located In: CO - Lone Tree
Education: BA/BS
Job Type: Full Time

Category:Risk Management
Activation Date: Monday, March 19, 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.