Charles Schwab Corporation

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Job Locations US-TX-Austin
Charles Schwab Digital Services (DS) is responsible for delivering innovative, best-in-class solutions.  We are obsessed with solving customer needs.  We want every interaction to be simple and easy.  We collaborate with user experience and design, business and technology partners across the enterprise to build software experiences our users’ are passionate about. Our mission is to significantly advance Schwab’s digital and data capabilities to drive firm growth, client loyalty, and operating leverage.   The Technical Director, Business Unit Risk Manager will play a critical role in the assessment and identification of risk introduced through software development efforts on Digital Services platforms.  This is a first line risk management function that will partner across the Digital enterprise.
Requisition ID
2020-63577
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
7/24/2020
Job Locations US-TX-Westlake | US-AZ-Phoenix | US-CO-Lone Tree
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 innovative 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 employees' 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! 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 hardworking, innovative, and driven people who believe they can help themselves, and our clients, build a better future! Strong information technology, security, and resilience are key components of the client experience, maintaining client trust, and are guiding principles of our Through the Clients’ Eyes strategy. The accurate identification, evaluation, assessment, management, and oversight of global technology, security, and resilience risk is essential to our business. This position is within the Technology Risk Management (TRM) organization and reports to the Vice President of Threat & Vulnerability Risk Management. The Managing Director of Cyber Resilience will lead a team of technology risk oversight professionals responsible for providing oversight and effective challenge of the Firm’s Cyber Resilience practices. The successful candidate understands the role of a strong governance framework and risk management program, possesses in-depth knowledge of both Cyber Resilience and Risk Management, is a proven people leader, and will have demonstrated the ability to conduct effective risk management (both strategically and tactically). They will be a great teammate, comfortable working across a wide variety of Business entities and Corporate functions including Technology, Compliance, Legal, Operational Risk teams, Privacy, and many other partners to promote risk management practices throughout the enterprise.
Requisition ID
2020-63566
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
7/3/2020
Job Locations US-AZ-Phoenix | US-TX-Westlake | US-AZ-Phoenix
As a direct report to the Managing Director of the Risk Assessment team, you will on a team charged with coordinating and supporting the Financial Crimes Risk Management Risk Assessments and associated policies and procedures in a manner consistent with regulatory requirements, corporate standards, and industry standard methodologies. This includes collecting and analyzing data, working together with business partners, engaging and interacting with senior business and control function managers, and ensuring the timely completion of Risk Assessment results, among other actions. The Senior Manager will also identify additional areas of opportunities to enhance analytics and metrics reporting as it applies to the data used throughout the Risk Assessment process. This position is an individual contributor role and will have a primary focus on Conduct and Ethical Behavior risk management.
Requisition ID
2020-63445
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/11/2020
Job Locations US-CA-San Francisco
The Liquidity Risk Management group within Treasury runs liquidity planning across the corporation and its subsidiaries, including our bank and broker-dealers. We supervise regulatory ratios and adherence, and develop associated tools to assist our business partners in analyzing the liquidity impacts of business decisions. We development robust contingency liquidity analyses and plans, as well as developing liquidity risk models to help identify emerging risks. This group crafts Company liquidity management policies, ensuring compliance at all times, and bringing up to senior management as needed. The Treasury Manager position is an individual contributor role.  
Requisition ID
2020-63428
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
7/1/2020
Job Locations US-CA-San Francisco
             
Requisition ID
2020-63397
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/12/2020
Job Locations US-TX-Westlake | US-TX-Austin | US-IN-Indianapolis | US-FL-Orlando | US-AZ-Phoenix
Supervision & Controls 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. Supervision and Controls 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. This is a Senior level Individual Contributor role with no direct reports (Influencer). Position reports to the Managing Director, Supervision & Controls.
Requisition ID
2020-63347
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/30/2020
Job Locations US-CA-San Francisco
The mission of the Fraud Sciences & Strategies (FSS) team, a key function within Schwab’s Financial Crimes Risk Management organization, is to safeguard trust by building intelligent and scalable fraud solutions that optimize client experience. The FSS eCrimes unit focuses on the covert monitoring and detection of fraudulent activity in Schwab’s digital and phone channels. We are seeking a passionate and creative cybercrime manager to lead this unit.
Requisition ID
2020-63295
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/4/2020
Job Locations US-AZ-Phoenix | US-CO-Lone Tree
The Merger and Acquisition Senior Team Manager (STM) within Advisor Enrollment will provide risk and regulatory guidance to the business and our clients during merger transactions. The STM will also design templates, training programs to streamline core, complex processes and educate the business and clients.  In addition, the STM will lead a team of individuals that are responsible for due diligence reviews which includes the review of Schwab company forms/agreements and firm disciplinary and financial history, opening and maintenance of master and sub-accounts, partnering with various business units to research and resolve escalated cases, and conducting analysis to provide decision support for the AS Advisor Enrollment team while balancing risk and firm reputation.
Requisition ID
2020-63197
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/5/2020
Job Locations US-TX-Westlake
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to figure out whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls.   The Broker-Dealer/Asset Management enterprise team is seeking a Senior Specialist. The Broker-Dealer/Asset Management team provides internal audit coverage of the business process activities and compliance functions for Schwab’s registered domestic and international broker-dealers and registered retail and institutional investment advisors. The team’s scope includes audit execution and oversight for Schwab’s: (i) client-facing activities supporting retail investors and independent investment advisors on Schwab’s platform and their clients; (ii) client product solutions and market expertise; (iii) portfolio advisory services and research; (iv) asset management functions; (v) corporate client services, including stock plan services, retirement plan services, and compliance and employee trade monitoring solutions; and (vi) middle and back office operational functions.   Reporting to a Managing Director in the Broker-Dealer/Asset Management enterprise team, the Senior Specialist will have responsibility for assisting in the for the independent and objective assurance activity designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes.
Requisition ID
2020-63162
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/30/2020
Job Locations US-TX-Westlake | US-CA-San Francisco
Enterprise Risk Management (ERM) effectively identifies, measures, and manages risk across all subsidiaries and affiliates to support Schwab’s strategic and business objectives.   The ERM Service and Advisory (ESA) team within ERM manages several risk management processes for the firm, including the Risk and Control Self-Assessment (RCSA) program, quarterly Risk Reporting, and Data Governance programs for ERM and the firm.    Reporting to the Managing Director of ESA, this role will perform various duties in support of ERM’s  programs. In addition, this individual will lead a team to facilitate the production of the Aggregate ERM Report to the executive risk committee and the Board on a quarterly basis. Lead a process to capture of Risk Appetite Monitoring Metrics (RAMM) in a single repository to document metric components, including data governance and risk reporting controls. Partner with ERM technology to coordinate data automation of RAMM to improve data integrity, accuracy and timeliness. This is an Individual Contributor role with no Direct Reports.
Requisition ID
2020-63146
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/19/2020
Job Locations US-TX-Westlake
Charles Schwab Digital Services (DS) Enterprise is responsible for delivering innovative, best-in-class solutions.  We are obsessed with solving customer needs.  We want every interaction to be simple and easy.  We collaborate with user experience and design, business and technology partners across the enterprise to build software experiences our users’ are passionate about. Our mission is to significantly advance Schwab’s digital and data capabilities to drive firm growth, client loyalty, and operating leverage. The Digital Services Risk Management (DSRM) function has been formed to enable transformation and risk management at scale across all of DS. The Manager, Digital Services Risk Management, Risk Program Team, works closely with 1st line risk, 2nd line risk, and key business stakeholders to develop and implement key DS wide risk programs. Specifically, this opportunity is focused on the identification and subsequent reporting of written customer complaints to ensure compliance with FINRA Rule 4530 Reporting Requirements.
Requisition ID
2020-63128
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/23/2020
Job Locations US-TX-Westlake | US-TX-Austin
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to figure out whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls.   The Technology enterprise team is seeking an Internal Audit Senior Manager primarily responsible for leading infrastructure audits. The Technology internal audit enterprise team is responsible for the execution of infrastructure, application, and project audits. Infrastructure audits focus on systems and technology that support and secure Charles Schwab applications with a focus on areas such as cybersecurity, data center, information technology (IT) operations, change management, network security, and cloud computing. Application audits focus on automated functionality and data integrity that support business processes such as segregation of duties, configuration management, system interfaces, and data processing. Project audits are assessments over key initiatives to figure out whether intended business objectives were met and to identify risks or issues early.   Working with the Managing Director of the Technology enterprise team, the Internal Audit Senior Manager will have responsibility for the independent and objective assurance activity designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes specifically around the firm’s IT infrastructure, operations and security programs. This position is also responsible for working with auditing resources provided by an external co-sourcing provider.
Requisition ID
2020-63096
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/30/2020
Job Locations US-TX-Westlake | US-AZ-Phoenix | US-IL-Chicago
Enterprise Risk Management (ERM) effectively identifies, measures, and manages risk across all subsidiaries and affiliates to support Schwab’s strategic and business objectives.   RCSA Risk Management, part of Enterprise Risk Management Service and Advisory (ESA) manages the Risk and Control Self-Assessment (RCSA) program for the firm. Reporting to the Senior Team Manager within ESA, this role will perform various duties in support of the firm’s RCSA program.  This is an Individual Contributor role reporting to the Sr Team Manager, ERM Department.
Requisition ID
2020-63004
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/19/2020
Job Locations US-IL-Chicago | US-CO-Lone Tree | US-CA-San Francisco
The Managing Director will be a part of Schwab Asset Management Solutions (SAMS). The overall SAMS team is passionately committed to providing solutions that help Schwab clients achieve their financial goals. SAMS includes: - Charles Schwab Investment Management (CSIM), the investment advisor for the Schwab Funds mutual funds and ETFs and also includes our Schwab Managed Portfolios, Windhaven Investments and ThomasPartners. - Charles Schwab Investment Advisory (CSIA), includes Schwab Intelligent Portfolios. - The Schwab Center for Financial Research (SCFR), who provide industry insights for investors - The Asset Management Client Solutions (AMCS), responsible for leading Schwab’s 3rd party platforms, offering Mutual Funds, Managed Accounts, ETFs, Annuities & Insurance, and Alternative Investments. Schwab Asset Management Solutions (SAMS) is the asset management arm of the Charles Schwab Corporation, and has over $500 billion under management in mutual funds, ETFs, and separately managed accounts. Products managed include a wide variety of active and indexed equity, fixed income, multi-asset, asset allocation strategies, and money markets funds.   The Managing Director of Operational Risk is responsible for the oversight of several operational risk management areas for SAMS including proactive risk governance improvement with business partners, operational event management, and due diligence reviews of vendors and sub-advisors. The role requires subject matter expertise, strong attention to detail, and relationship building. This position will be expected to provide leadership for the team and be responsible for individual growth and development. The Managing Director will also be responsible for partnering with leaders of SAMS functional business divisions to execute on objectives and maintain outstanding operational risk processes in alignment with corporate standards.
Requisition ID
2020-62582
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/12/2020
Job Locations US-CA-San Francisco | US-CO-Lone Tree | US-IL-Chicago
The Treasury Asset Liability Management (ALM) team produces quantitative balance sheet, income, and capital forecasts and analytics for FP&A purposes, as part of business-as-usual (BAU) and CCAR/DFAST. The team uses ALM vendor models, statistical analytics and data science to resolve how the company’s most material exposures react under various market environments.
Requisition ID
2020-62254
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/12/2020
Job Locations US-TX-Westlake | US-TX-Austin | US-AZ-Phoenix
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to figure out whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls.   The Technology enterprise team is seeking a Senior Specialist primarily responsible for performing infrastructure audits. The Technology internal audit enterprise team is responsible for the execution of infrastructure, application, and project audits. Infrastructure audits focus on systems and technology that support and secure Charles Schwab applications with a focus on areas such as cybersecurity, data center, information technology (IT) operations, change management, network security, and cloud computing. Application audits focus on automated functionality and data integrity that support business processes such as segregation of duties, configuration management, system interfaces, and data processing. Project audits are assessments over key initiatives to figure out whether intended business objectives were met and to identify risks or issues early.   Reporting to the Senior Manager of the Technology enterprise team, the Senior Specialist will have responsibility for assisting in the independent and objective assurance activity designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes specifically around the firm’s IT infrastructure, operations and security programs.
Requisition ID
2020-51509
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/5/2020
Job Locations US-IL-Chicago
In Corporate Operational Risk, our purpose is to govern, oversee, and continually improve the operational risk program by supporting and providing effective challenge to business partners, and raising risk awareness and understanding to improve risk based decision making. We look to minimize operational risk impacts across all of the firm and its subsidiaries and affiliates. We do this through fostering a risk culture consistent with the core values of the firm of One Schwab, partnership, operating discipline and innovation. Data Risk Management seeks to lead operational risk management efforts, in collaboration with the first-line Business organizations, by providing a holistic view of data risk and maturity at the firm relating to how the firm handles one of our most important assets, our data. This is an individual contributor role!  
Requisition ID
2020-51389
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/5/2020
Job Locations US-CA-San Francisco | US-TX-Westlake
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to figure out whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls.   The Internal Audit Bank Enterprise team is seeking a Senior Auditor (Internal title is Senior Specialist). This team is responsible for execution of audits over the firm’s Bank Secrecy Act (BSA) / Anti-Money Laundering (AML) and Office of Foreign Asset Control (OFAC) functions. BSA/AML/OFAC audits cover areas such as the compliance program, risk assessment, customer identification program (CIP), customer due diligence (CDD)/ enhanced due diligence (EDD), suspicious activities reporting (SAR), and OFAC compliance. This team performs testing to confirm remediation of audit and regulatory issues.  The team also shares responsibility for regulatory agency interactions, Board and Executive Management reporting, and general relationship management.   Reporting to a Managing Director in the Bank Enterprise team, the Senior Specialist will have responsibility for assisting in the independent and objective assurance activities designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes.
Requisition ID
2020-51050
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/30/2020
Job Locations US-IL-Chicago
The role is situated in the Credit Risk and Stress Testing team within the Financial Risk Management group. The position will support Stress Testing activities that cover all aspects of macroeconomic scenario design for Capital Stress Testing and also focuses on analytics/modeling, tactical execution and strategic continuous improvements of activities related to macroeconomic modeling. This role would also provide meaningful contributions to second-line effective challenge and stress testing activities and develop effective partnership with teams across Corporate Risk Management and Finance Enterprises. This is an Individual Contributor role with no direct reports reporting to the Managing Director, Market Risk Management. 
Requisition ID
2019-50174
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/5/2020
Job Locations US-TX-Westlake | US-TX-Austin
Internal Audit (IAD) provides independent and objective assessments of the effectiveness of risk management activities and the internal control environment. Reporting to the Managing Director, Broker-Dealer, the Senior Manager, Broker Dealer has responsibility for the independent and objective assurance activity designed to improve the firm’s operations by evaluating and improving the effectiveness of risk management, control, and governance processes. This position is also responsible for liaising with the firm’s risk management functions, external co-sourcing provider, and regulators.
Requisition ID
2019-49782
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/30/2020
Job Locations US-TX-Westlake | US-TX-Austin | US-AZ-Phoenix
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to determine whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the effectiveness of governance processes, risk management, and internal controls. Reporting to the Managing Director in IAD Technology, the IT Audit Manager, Infrastructure has responsibility for the independent and objective assurance activity designed to improve the firm’s operations by evaluating and improving the effectiveness of risk management, control, and technology related governance processes.  This position is also responsible for liaising with the firm’s risk management functions, external co-sourcing provider, and regulators.
Requisition ID
2019-40811
Category
Risk & Regulatory
Position Type
Regular
Requisition Post Information* : Post End Date
6/30/2020

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