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Supervision & Controls (S&C) is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis and supervisory risk assessments, to Schwab's Investor Services (retail) group. S&C's vision is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective and unbiased risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment.
What youre good at
The Manager, Supervisory Risk Management will work as part of a team focused on regulatory risk management and control issues applicable for various parts of the organization. This role will focus on risk identification, control testing support and issue management across multiple governance groups (1st Line of Defense Testing, Operational, Third Party, Audit, Compliance etc.). In addition, the role will be expected to actively build and support the processes and standards required to bring a focused structure to the operation as well as assist with the development for training on the processes and standards for various partners affected.
As a Manager, Supervisory Risk Management, this person would support Schwab's Leaders by:
Building and maintaining Risk and Control Self Assessments (RCSA) for core businesses
Utilizing knowledge of industry, guidelines, laws and regulatory practices related to administration of RCSA programs
Assisting core businesses to identify key risks, set risk ratings, identify controls to mitigate the risk and figure out control effectiveness in according with the Risk Governance policies
Supporting 1st line of defense control testing and issue management by conducting timely and accurate updates including issue/finding status updates
Assisting with deliverables from GRC (Governance Risk and Compliance) transformation project
Exhibiting professional courage to effectively challenge the business where appropriate
Building and maintaining relationships with business partners while adhering to the highest ethical standards
Handling work across organizational lines to achieve results while leading contending priorities
Leading discussions with executive leadership and exhibiting excellent verbal and written communication skills
Performing QA responsibilities related to RCSA Oversight, program support and issue management
Leading risk working groups including facilitating meetings, preparing and distributing meeting materials, tracking and monitoring follow-up items
Running quarterly certification process with officers and control owners to ensure quarterly certifications are complete and accurate
Partaking in various risk management activities and ensure that they are properly performed and completed for the units within the area of responsibility
Assisting business partners in reviewing risks from key initiatives to ensure that risks are recognized, mitigated, reported and/or accepted
Coordinating, training on and facilitating risk management routines on behalf of the various internal business divisions
What you have
The qualified candidate should possess the following skills:
Strong communication, influencing, and presentation skills
Highly effective organizational and time management skills with the ability to work independently, with minimum guidance
Ability to influence others through the development and management of strong working relationships
Either shown risk management skills with a working knowledge of industry standards and policies or the capacity and strong desire to learn and practice these skills
Experience executing both strategic and tactical objectives
Qualified candidates must also have:
The ability to handle and analyze large quantities of data with meticulous attention to detail and data integrity
Experience implementing operational improvements
The ability to work on multiple projects and prioritize based on regulatory risk and business needs
5+ years relevant financial services experience
2+ years supervisory, risk, audit, control, or compliance experience in similar financial service industry or the willingness and ability to learn
Experience making timely decisions based on all available information
Track record of providing sound guidance to business partners and peers
Experience responding to changes in the business and/or regulatory environment by actively recommending changes to existing policies and procedures
The ability to respond to findings and remediation plans as appropriate and track through to completion
Strong attention to detail and the ability to identify core and root cause of gaps and weaknesses
Experience implementing regulatory change initiatives across the business in a manner that balances the control requirements with the field experience
Series 7 preferred (willingness to obtain)
You Demonstrate These Behaviors:
Building Collaborative Relationships: The ability to develop, maintain, and strengthen partnerships with others inside or outside of the organization who can provide information, assistance and support.
Adaptability: The ability to keep functioning effectively when under pressure and maintain self-control in the face of hostility or provocation.
Business Acumen: Ability to perform with insight, acuteness, and intelligence in the areas of commerce and/or industry. Make decisions and act in situations in which there is not enough information to be certain of outcome or implications of the decision.
Persuasive Communication: The ability to plan and deliver oral and written communications that are impactful and persuasive with their intended audiences.
Influencing Others: The ability to gain others' support for ideas, proposals, projects, and solutions.
Results Orientation: Focusing on the desired end result of one's own or one's unit's work; setting challenging goals, focusing effort on the goals, and meeting or exceeding them.