Director, Regulatory Liaison Office
Your Opportunity
Your opportunity
At Schwab, you’re 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.
We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the Westlake, TX location.
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 to 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 has a collaborative focus, and 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.
The Director, Regulatory Liaison Office role will support the financial regulatory focus for capital, liquidity, market and interest rate risk, including first and second line Finance, Corporate Risk Management and include engagement with Executive and Senior management. Primarily, seeking experience with a prudential financial regulator or working in a financial institution in Treasury or Financial Risk Oversight functions.
Responsibilities include:
- Serve as subject matter expert on the supervisory expectations for capital, liquidity, market and interest rate risk.
- Serve as the primary point of contact between the regulators and internal stakeholders while managing exams, inquiries and other regulatory matters in accordance with enterprise-wide standards.
- Track and analyze regulatory developments applicable to Schwab.
- Provide ongoing consultation to executives on internal risk and performance practices.
- In coordination with colleagues, 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
To ensure that we have fulfilled our promise of "challenging the status quo," this role has specific qualifications that successful candidates should have.
Required Qualifications:
- Bachelors degree or equivalent experience required.
- 7+ plus years of regulatory experience with a prudential financial regulator or working in a financial institution in Treasury or Financial Risk Oversight functions.
- Expert knowledge of regulatory examination framework, regulatory laws, supervisory guidance and effective risk management practices and the applicability to a large financial firm pertaining to capital, liquidity, market and interest rate risk.
Preferred Qualifications:
- 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.
- Excellent quantitative skills and expertise.
In addition to the salary range, this role is also eligible for bonus or incentive opportunities
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
To ensure that we have fulfilled our promise of "challenging the status quo," this role has specific qualifications that successful candidates should have.
Required Qualifications:
- Bachelors degree or equivalent experience required.
- 7+ plus years of regulatory experience with a prudential financial regulator or working in a financial institution in Treasury or Financial Risk Oversight functions.
- Expert knowledge of regulatory examination framework, regulatory laws, supervisory guidance and effective risk management practices and the applicability to a large financial firm pertaining to capital, liquidity, market and interest rate risk.
Preferred Qualifications:
- 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.
- Excellent quantitative skills and expertise.
In addition to the salary range, this role is also eligible for bonus or incentive opportunities
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.