Senior Manager - Risk Assessment (Bank Compliance)

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Job ID:
20160705-2932
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Financial Services-6+ yrs, Legal-6+ yrs, Regulatory, Banking-6+ yrs, Risk Analysis, Compliance
Current Licenses / Certifications:
None
Position Located In:
AZ - Phoenix, CO - Lone Tree
Education:
BA/BS
Job Type:
Full Time

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:

Schwab Bank is seeking a Senior Manager to spearhead the risk assessment process within Bank Compliance.

What you’ll do:

The Senior Manager will be responsible for the processes that evidence the ongoing risk assessment process and communicating the results to members of Legal, Compliance, and Business. This individual will:

  • Maintain and improve the risk assessment infrastructure Devise and update various risk assessment project plans.
  • Track updates to risk levels including the rationale for any changes Organize and facilitate risk assessment discussions with Compliance, Legal, and Business Leaders.
  • Be expected to remain current on Firm policies and procedures, regulatory changes, as well as develop and maintain strong working relationships with business partners and colleagues within the Compliance Department.
  • Potentially work as an individual contributor or be responsible for leading the efforts of others as necessary.

What you have:

The successful candidate will have:

7-10 (+) years’ bank compliance experience (e.g. Reg B, C, D), with 2 - 3 years of experience with risk assessment, required..

  • Fair Lending Analysis and/or Fair Lending Risk Assessment experience, along with UDAAP, OCC, CFPB experience, are all plusses.
  • High (Advanced) proficiency with Excel, required. .
  • Project management skills and the ability to organize and process large amounts of data/information.
  • Strong ability to clearly articulate the risk assessment process to key stakeholders.
  • Strong ability to independently prioritize multiple, competing priorities, and changes in scope/directions.
  • Professional certifications(s) preferred: such as Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or Certified Risk Professional (CRP).

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.


Position Located In:AZ - Phoenix, CO - Lone Tree
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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.