Business Unit Risk Manager
The Risk & Supervision Management (RSM) Supervision Group’s purpose is to provide AS support with their supervision requirement via identification, assessment, monitoring, and reporting. RSM is committed to supporting all departments within AS.
What you are good at
This position serves as a liaison to TD Ameritrade Institutional (TDAI aka Schwab-Green) and its business partners, as well as Compliance and Legal to identify and mitigate risk. This role acts as a Subject Matter Expert related to risk, regulations, and supervision tasks that help the business unit align to corporate goals, while maintaining its integrity to clients and compliance to industry regulations.
This role will be supporting the supervisory functions of a centralized Office of Supervisory Jurisdiction for all Institutional business units. The candidate will also maintain procedures and monitor adherence to TDAI department programs, with a focus on achieving and sustaining a high level of quality, accuracy and efficiency in the support and oversight of various business areas.
Additionally, the BU Risk Manager creates reporting and trending mechanisms to alert Business Unit Management of risk items, and solutions for mitigating identified risks and supervision gaps. This person will also provide assistance and support to management related to production or transactional risk items as well as disciplinary matters.
What you have
- Bachelor’s degree or equivalent experience.
- At least 3-5 years of financial services industry experience (brokerage preferred).
- Professional experience working in the fraud, audit, compliance, or risk environment in the financial services industry is a plus.
- The ideal candidate will possess a thorough understanding and knowledge of the policies and procedures governing various departments within TDAI as well as a thorough understanding of regulatory rules governing the TDAI business.
- Strong analytical, research, and communication skills.
- Experience leading projects a plus.
- Proficiency in MS Office such as Excel and Access.
- Strong attention to detail and documentation skills.
- Strong organizational skills with ability to work on multiple assignments and complete them within established deadlines.
- Ability to prioritize effectively in a fast-paced environment and function in a professional manner under pressure.
- Proven ability to identify and solve complex issues in a team environment working with various levels of management and business partners.
- Ability to adapt to changing business needs.
- Ability to identify and solve complex issues in a team environment working with various levels of management and business partners.
- Positive attitude, enthusiasm, professionalism, and strong work ethic with high level of integrity and ethics.
- Series 7, 24 (or 9/10), and 63 (or 66) registrations.
Why work for us?
Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.
Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further.
Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here to see the policy.
Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at firstname.lastname@example.org or call 800-275-1281.
TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.