Charles Schwab Sr. Manager - Regulatory Analyst in Westlake, Texas


Phoenix - AZ, PHX4701A, 4701 E Francisco Dr, 85044-5365

Christine Marie Hill


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:

The Schwab Cybersecurity Services (SCS) team is responsible for implementing the firm’s cybersecurity strategy which includes security architecture, security operations monitoring (SOC), cybersecurity incident response, implementing and operating the necessary security tools, controls and approaches to meet policies and standards, and regulatory support for all of Technology. As a Sr. Manager, you will report to the Managing Director of Regulatory and Issue Management (RIM) and be responsible for leading a small team to perform gap assessments of new regulations against current processes and controls through coordination within Legal, Technology Owners and Risk Management teams, helping manage the implementation of new regulatory requirements, facilitating evidence collection for regulatory exams, facilitating pre-exam and exam meetings under the guidance of the Managing Director of RIM and the Regulatory Liaison Office, and developing approach and materials for continuous monitoring meetings.

What you’ll do:

The Sr. Manager is responsible for analyzing new cybersecurity regulations and implementing new processes, tools or controls, and facilitating responses for regulatory inquiries and exams. In addition to responding to regulators, this role will also be engaging with Senior Leadership at Schwab to ensure a consistent message is being delivered to regulators and Management’s expectations are being met. This role will also set direction for staff members also supporting regulatory.


  • Manage the Regulatory Program within Schwab’s Regulatory and Issue Management team

  • Follow and enhance processes and procedures that govern the Regulatory Program

  • Contribute to defining, planning, orchestrating, and delivering regulatory initiatives including legal, operational, and information technology deliverables

  • Rigorously manages scope of regulatory projects to ensure commitments are achieved within agreed upon time, cost, and quality parameters

  • Liaise with internal stakeholders in STS, ISRM, Compliance, and Regulatory Liaison Office, etc.

  • Evaluate regulatory and audit items and provide recommendations on remediation approach

  • Coordinate and lead multiple concurrent regulatory &/or audit activities through coordination with internal stakeholders

  • Facilitate cross-organizational meetings to ensure progress in on plan to target

  • Lead regulatory gap assessments against current state

  • Develop and/or coordinate content development for reports and communication going to regulators and Senior Management

  • Provide leadership to the Regulatory Program team

What you have:

Required minimum qualifications include:

  • 8+ years of experience in an IT, Cybersecurity and/or IT Auditing, IT Project Management

  • Strong foundation in Project Management with PMP certification (or similar) is preferred

  • Previous experience in the financial services or regulatory industry

  • Information security certification is preferred but not required: CISSP, CISM, CISA, etc.

  • Ability to recognize project/progress barriers and resolve them effectively

  • Knowledge of laws and regulations surrounding the financial services sector is a plus

  • Proven ability to quickly build relationships and earn the trust of sponsors and key stakeholders

  • Ability to organize teams, establish direction and approach, resolve conflict, deliver tough messages with grace

  • Ability to navigate a highly matrixed organization effectively

  • Sound business and technical acumen

  • Ability to communicate verbally and in writing at all levels within the organization, including with regulators, with clarity and precision

  • Focused and versatile team player and leader that is comfortable under pressure

  • Excellent problem-solving and critical-thinking skills

  • BA/BS Degree

You demonstrate these behaviors:

Curious: Constantly learns more about our clients, competitors, industry and the broader market to drive insights and decisions

Exceptional Communicator: Communicates clearly, authentically, and persuasively

Committed to Excellence: Sets ever increasing standards for performance, holding self and others accountable

Relationship Oriented: Builds trusted relationships with colleagues around the firm and across multiple levels of the organization

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:IT-Other Specialty Engineering-6+ yrs

Position Located In:TX - Westlake


Job Type:Full Time

Category:Information Technology

Activation Date: Thursday, March 22, 2018

Expiration Date: Friday, June 1, 2018

Apply Here