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Manager: Corporate Compliance Program - Reporting and Governance Committee Support

Austin, TX, USA | Charles Schwab

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    Legal / Compliance
  • Experience:
    5-7 years
Job Description:
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The Corporate Compliance Program is a firm-wide compliance program established to meet Federal Reserve expectations of The Charles Schwab Corporation. As such, the Program coordinates and reports, on a regular basis, to senior management and the board on the firm-wide aggregated compliance risks and the assessment of compliance risk management activities.The Reporting Governance team was recently established and is looking to staff this function. 

What you’ll do:

Our Corporate Compliance Program – Reporting Governance Team is looking for a Manager to support their growing responsibilities.The Manager will report to the Managing Director-Corporate Compliance Program – Reporting Governance and directly assist in creating monthly, quarterly and ad-hoc Management Reporting packages.  

As a Manager, you may take on a role(s) within any of the initiatives covered by the Corporate Compliance Program.Your responsibilities may include, but are not limited to, the following activities:

Prepare Management Reporting materials to escalate significant compliance risks and issues to the Corporate Chief Compliance Officer, Compliance Risk Committee, Global Risk Committee, and Board Risk Committee, where needed. 

Leverage previous Management Reporting experience and draw from industry best practices ways to enhance current processes, formatting and content to achieve higher efficiency, accuracy and timeliness of Management Reporting. 

Leverage previous Metrics Identification, Calibration, Maintenance and Reporting experience and draw from industry best practices ways to enhance current process, leading to the build out of a comprehensive inventory of meaningful, actionable, and, where possible, forward-looking metrics to manage Compliance risk.

Adhere to department Standards applicable to, and appropriate for Management Reporting and Metrics.

Assist with tracking progress against Compliance action plans including strategic plans, maturity assessments, program enhancement, supported business initiatives, regulatory and internal exam/audit remediation. 

Liaise within Compliance and other second line organizations to obtain materials timely.

Build and maintain strong working relationships throughout the Compliance Department, Legal Services, Corporate Risk Management and Internal Audit. 

What you have:

A minimum of 4 to 5 years in a reporting (financial, risk, compliance) position within a diversified financial services environment, ideally with experience creating standards and processes across entire enterprises, as well as identifying, calibrating, maintaining and reporting risk metrics.

Strong attention to detail, sharp analytical skills and flawless time management coupled with effortless ability to adapt to last minute requests.

General understanding of varying compliance risks that transcend business lines, legal entities and jurisdictions of operations. 

Curious and Innovative with the proven ability to independently identify opportunities for improvement and operationalize enhancements.

An excellent interpersonal communicator able to effectively persuade and influence across channels (written & verbal) with a purpose and connect with audiences of all levels.

Exceptionally client focused; able to effectively and quickly build relationships and establish trust, respect, competence and confidence.

Proven ability to identify and solve issues in a team environment working with various levels of management and business partners while being disciplined in the use of Project Management principals.

Fully proficient in the use of Microsoft Office and SharePoint including Word, PowerPoint, and Excel. 

BA/BS degree required 

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