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Managing Director, Regulatory Liaison Office

Austin, Texas, United States Location Westlake, Texas, United States Requisition ID 2021-67070 Category Legal & Compliance Position Type Regular
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Your Opportunity

The Regulatory Liaison Office’s (RLO) mission is to drive an informed, efficient and effective regulatory engagement program by serving as a central point of contact for all regulatory risk matters. The RLO’s vision is be a trusted liaison with Schwab business partners and with our regulators by encouraging clarity, communication and credibility to support Schwab’s businesses as they help our clients Own Their Tomorrow.

The Regulatory Exam Team is responsible for the coordination of regulatory activities, supervising regulatory developments and to aid the analysis or response to proposed and new regulations or supervisory guidance. This role will support broad areas of regulatory focus including first and second line Risk Management and engagement with Executive and Senior management.

What you are good at

  • Provide advice, guidance and partnership to business leaders to support effective and clear engagement with federal and state regulators.
  • Serve as subject matter expert on the supervisory expectations for strong governance, independent risk management, and effective internal controls.
  • Tracking and analyzing regulatory developments applicable to Schwab; and,
  • In coordination with colleagues in the Legal Department, advising the company regarding the impact of proposed and new regulations or supervisory developments.
  • Assist in special projects and other regulatory examinations of subsidiaries.

What you have

  • 10+ plus years of regulatory and supervisory experience with a prudential financial regulator.
  • Expert knowledge of regulatory examination framework, regulatory laws, supervisory guidance and effective risk management practices and the applicability to a large financial firm.
  • Strong interpersonal and communication skills to develop and maintain relationships with key business partners and at all levels of the firm.
  • Excellent judgment and critical thinking in order to provide sound strategic advice to business partners.

Why Schwab?

At Schwab, “Own Your Tomorrow” embodies everything we do! We are committed to helping our employees unleash their potential and achieve their dreams. Our employees get to play a central role in disrupting a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. We’re a modern financial services firm that stands apart from the industry, where you can go as far as your ambition takes you.

Hear from employees: What’s it like to work at Schwab!

The benefits of working at Schwab : a package designed to empower your health, wealth, career and life. Schwab is committed to building a diverse and inclusive workplace where everyone feels valued.

As an equal employment 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 policy.)

Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace. We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.

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