Sr. Manager, Compliance Policies & Standards
Your Opportunity
Your opportunity
At Schwab, you are empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
The Compliance Reporting, Communications and Policies (CRCP) Team oversees all aspects of compliance reporting, manages employee compliance communications, and governs the development and maintenance of compliance policies and standards.
As a Senior Manager, you will lead the creation and oversight of enterprise-wide compliance policies and standards, ensuring alignment with Schwab’s risk management framework and regulatory expectations. This role offers a unique opportunity to shape the future of compliance through a challenger mindset, strategic influence, cross-functional collaboration and policy content.
Role Overview:
- Lead Policy Governance: Drive the end-to-end creation, review, and refinement of Schwab’s Compliance policies and standards, ensuring consistency, clarity, and alignment with enterprise-level requirements. Provide strategic reporting and insights to risk governance committees to support informed oversight and decision-making.
- Champion Clarity and Impact: Identify opportunities to enhance the readability and effectiveness of compliance documentation, making complex concepts accessible and actionable.
- Establish Best Practices: Develop and maintain procedures, job aids, templates, and tools that promote consistency and excellence across the Compliance function.
- Enable Change Readiness: Assess the impact of policy updates and lead broad-based communication and training initiatives to ensure seamless adoption across the organization.
- Collaborate Across Functions: Partner with compliance subject matter experts, corporate risk colleagues, and First Line of Defense business teams to ensure policies reflect operational realities and strategic priorities.
- Drive Strategic Communication: Design and execute communication strategies and training plans that support policy implementation and reinforce a culture of compliance.
What you have
Required Qualifications:
- 8+ years of experience in compliance or risk management.
- 3+ years of hands-on experience drafting and writing compliance or risk policies and standards.
Preferred Qualifications:
- Ability to build strong relationships with Schwab Compliance leaders and subject matter experts.
- Deep understanding of regulatory frameworks and the ability to translate changes into actionable policy updates.
- Familiarity with risk management software.
- Exceptional attention to detail and ability to manage multiple priorities effectively.
- Proven communication skills—clear, concise, and tailored to diverse audiences.
- Strategic mindset with the ability to anticipate challenges and develop proactive solutions.
- Strong interpersonal and change management capabilities.
- Bachelor’s degree preferred.
- Proficiency in Microsoft Office Suite (Word, PowerPoint, Excel, SharePoint).
- Policy writing experience within a broker-dealer, registered investment adviser, or banking institution.
What’s in it for you
At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
What you are good at
What you have
Required Qualifications:
- 8+ years of experience in compliance or risk management.
- 3+ years of hands-on experience drafting and writing compliance or risk policies and standards.
Preferred Qualifications:
- Ability to build strong relationships with Schwab Compliance leaders and subject matter experts.
- Deep understanding of regulatory frameworks and the ability to translate changes into actionable policy updates.
- Familiarity with risk management software.
- Exceptional attention to detail and ability to manage multiple priorities effectively.
- Proven communication skills—clear, concise, and tailored to diverse audiences.
- Strategic mindset with the ability to anticipate challenges and develop proactive solutions.
- Strong interpersonal and change management capabilities.
- Bachelor’s degree preferred.
- Proficiency in Microsoft Office Suite (Word, PowerPoint, Excel, SharePoint).
- Policy writing experience within a broker-dealer, registered investment adviser, or banking institution.
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.