Charles Schwab Sr Mgr, First Line Risk Management Office, Framework and Outreach in Lone Tree, Colorado


Lone Tree - CO, DENR3, 9800 Schwab Way, 80124

Pamela Ferrell


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 at 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:

Our First Line Risk Management Office (FLRMO) is looking for a Senior Manager to support their growing team. The Senior Manager will assist in managing programs or initiatives needed to achieve a higher level of maturity and consistency amongst all first line of defense business units within Schwab. The Senior Manager will work closely with existing risk-focused teams within the first line of defense to assist in maintaining robust and efficient risk governance processes. The senior manager will work to ensure appropriate first line of defense risk processes adhere to both regulatory and 2 nd line policies and guidelines via gap analyses, creation of documented frameworks, and consistent outreach with first line risk partners.

The senior manager will also assist the Managing Director in engaging senior and executive management and business unit partners in communication and outreach activities to emphasize the importance of ongoing risk management objectives/initiatives and clarify key expectations and responsibilities. This could include helping to facilitate targeted training on associated risk frameworks and policies.

The senior manager will also help the Managing Director in working closely with the 2 nd and 3 rd line of defenses to improve and streamline communications throughout all three lines of defense.

What you’ll do:

As a Senior Manager, you may be required to take on a role within any of the programs and initiatives within the 1 st line risk management office. Your responsibilities will include, but not be limited to, the following activities:

  • Document and Update 1 st LOD Risk Frameworks : Work with business risk partners to create, facilitate updates, and maintain 1 st LOD governance frameworks, guidelines, and structure, as needed for business, regulatory and market changes;

  • 2 nd LOD Policy/Framework Gap Analysis : Assist the MD in conducting periodic reviews of 2 nd line risk policies and frameworks and work with 1 st LOD partners to develop processes to comply with 2 nd line risk policies;

  • 1 st LOD Outreach : Assist the Managing Director with educating and outreach regarding 1 st LOD Risk Management governance frameworks and guidelines. Assist with the creation of training or support provided, as deemed necessary, to various stakeholders in order to drive awareness and understanding of enterprise-wide risk;

  • 1 st LOD Advocate for 2 nd /3 rd LOD Interactions : Coordinate with 2 nd and 3 rd LOD on process improvements and communication efforts rolled out to 1 st LOD units to ensure effective communication and seamless adoption of evolving enterprise risk requirements; Work with the 2 nd LOD in ensuring all issues escalated to the 2 nd line are being appropriately captured in the 1 st LOD risk governance process; and

  • Other 1 st LOD Structure and Program Development : Assist the MD with establishing and maintaining other firm-wide 1 st LOD structure and programs related to risk management, corporate governance or regulatory response as decided by the SVP and MD of FLRMO.

What you have:

Required Qualifications :

  • At least 5 years of experience in Internal Audit, enterprise risk or operational risk.

  • Financial services industry and risk management experience required, preferably in a risk, audit, or compliance role.

  • Experience in preparing and presenting materials to senior leaders.

  • Strong project management skills, with the ability to effectively manage several projects at once and identify and implement process improvements.

  • Strong organizational skills and attention to detail in a rapidly changing environment.

  • Excellent written and verbal communication and strong professional maturity.

  • BA/BS degree. Masters or MBA preferred.

Desired Skills :

  • Familiarity with prudential standards for risk management

  • Sharp critical thinking skills (creative, strategic, and practical), ability to focus on the most vital areas, problem-solving skills, and strong business and relationship judgment.

  • Strong presentation skills with the ability to inform and persuade both orally and in writing. Should be able to facilitate meetings with middle management.

  • Ability to constructively engage a diverse group of people in a productive dialogue.

  • Proficient with Word, PowerPoint, Excel, Outlook and Visio; working knowledge of SharePoint

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 at" .

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: Financial Services-6+ yrs, Internal Audit, Risk Analysis

Position Located In: TX - Austin, IL - Chicago, FL - Orlando, CO - Lone Tree, CA - San Francisco

Education: BA/BS

Job Type: Full Time

Category:Risk Management

Activation Date: Saturday, August 11, 2018

Expiration Date: Monday, October 1, 2018

Apply Here