Sr. Manager - Corporate Responsibility & Ethics Program

Apply Now    
Job ID:
20180326-2059
Job Category:
Risk Management
Relevant Work Experience:
Risk Analysis, Compliance
Current Licenses / Certifications:
None
Position Located In:
AZ - Phoenix, CA - San Francisco, TX - Westlake
Education:
BA/BS
Job Type:
Full Time
Description:

Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616
Pamela Ferrell
20180326-2059

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:

The Financial Crimes Risk Management (FCRM) Governance team in Corporate Risk Management oversees the Corporate Responsibility & Ethics Program, and performs activities to report on the health of the Program and to assess related risks to the firm.  We have an opening for a Sr. Manager position, which is an individual contributor’s role, to be based in Westlake, TX, Phoenix, AZ, or San Francisco, CA.

 

 

What you’ll do:

The Sr. Manager – Corporate Responsibility & Ethics Program will be responsible for developing, managing implementation, monitoring and continuous improvement of the Corporate Responsibility & Ethics Program for the Firm.  The position will assist the Corporate Responsibility & Ethics Officer in developing an enterprise-wide governance framework.

 

As a direct report to the Managing Director of the FCRM Chief Administrative Office, the Sr. Manager will:

  • Develops policies, procedures and other tools necessary to comply with the letter and spirit of applicable laws;
  • Assess Program issues are appropriately escalated and adequate corrective action  plans are established and tracked;
  • Develop/Enhance Corporate Responsibility & Ethics reporting, including evaluating existing reporting, identifying new approaches, and working with relevant business partners to adopt and implement new approaches;
  • Partner with the internal business partners for reporting on significant matters to the firm’s internal and external stakeholders, including the appropriate management and Board committees;
  • Work with business partners at the 1st line of defense, 2nd line of defense, and 3rd line of defense to identify control enhancements;
  • Work collaboratively with compliance department personnel and corporate risk management personnel on various projects and initiatives as directed; and
  • Remains current on applicable laws and regulations, government contracting industry trends, and compliance and ethics best practices.

 

 

 

What you have:

 

  • BS/BA  degree or equivalent work experience
  • Five or more years in the financial services industry (banking and/or securities) with a solid background in Regulatory Compliance or Risk Management as well as, audit / exam management experience in this area
  • Experience in corporate governance and risk management from an enterprise wide perspective
  • Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization
  • Demonstrated ability to analyze issues and develop plans on a systemic level, thinking through potential connections and impact across the Schwab ecosystem, and developing roadmaps to achieve long term vision through short term deliverables
  • Understanding of the regulatory environment and rules and regulations applicable to a diversified financial services firm, including strong knowledge of conduct-related risk regulations and laws
  • Ability to effectively and quickly build relationships and establish trust, respect, competence and confidence
  • Experience consulting with all levels of management and working collaboratively with various groups with potentially disparate objectives
  • Results-oriented, able to quickly sort through information and develop concise and clear strategies and solutions
  • Ability to be flexible, use sound judgment, solve problems, work under pressure, and meet tight deadlines
  • Advanced skill with Microsoft Word, Excel and PowerPoint.
  • Positive attitude, enthusiasm, professionalism and strong work ethic with high level of integrity and ethics

 

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: Evenings, Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Risk Analysis, Compliance
Position Located In: AZ - Phoenix, CA - San Francisco, TX - Westlake
Education: BA/BS
Job Type: Full Time

Category:Risk Management
Activation Date: Monday, April 16, 2018
Expiration Date: Tuesday, May 1, 2018
Apply Here
Apply Now    
Link for schema

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.