Senior Manager, Regulatory and Supervisory Change Management

Retail Supervision and Risk Management (RSRM) provides independent supervisory oversight and risk guidance in support of Schwab’s Investor Services organization. Within RSRM, the Supervisory Change & Readiness Team (SCRT) leads strategic initiatives that strengthen supervisory programs and address evolving business and regulatory needs.

As a Relationship Manager within SCRT, you will guide initiatives through the supervisory change lifecycle by assessing supervisory and regulatory impacts, partnering with leaders across business, risk, compliance, technology, operations, and product teams, and helping design scalable controls, governance, and monitoring frameworks. Acting as a trusted advisor, you will translate business strategy into practical supervisory solutions, influence cross-functional decisions, and provide actionable recommendations that balance innovation, growth, and risk management.

This highly visible role is ideal for a strategic thinker who enjoys solving complex challenges and driving meaningful outcomes. You’ll help shape how Schwab adapts to new products, technologies, regulations, and business priorities, connecting strategy to execution while strengthening the supervisory frameworks that support our clients, employees, and business. Along the way, you'll gain exposure to senior leaders, enterprise-wide initiatives, and opportunities to expand your expertise in risk management, supervision, change leadership, and financial services.

• Bachelor's degree or equivalent combination of education and relevant experience.
• 5+ years of experience in one or more of the following areas: financial services, wealth management, banking, broker-dealer operations, registered investment advisory services, risk management, compliance, legal, internal audit, regulatory examination, consulting, product management, technology delivery, or change management.
• Experience leading complex, cross-functional initiatives from planning and assessment through implementation and execution.
• Knowledge of wealth management, retail brokerage, banking, or financial services products, services, and regulatory environments.
• Experience conducting risk assessments, evaluating controls, documenting findings, and developing recommendations or business requirements.
• Strong written and verbal communication skills, including experience presenting recommendations, risks, and business decisions to senior stakeholders.
• Experience building relationships and influencing outcomes across multiple teams and organizational levels.
• Ability to analyze business and operational data to support decision-making and risk management.
• Proficiency with Microsoft 365 tools, including Excel, PowerPoint, Word, Teams, and SharePoint.

Preferred Qualifications:

• Advanced degree such as an MBA, JD, or related graduate-level credential.
• Experience within wealth management, retail brokerage supervision, regulatory oversight, or investment advisory environments.
• Knowledge of supervisory programs, risk frameworks, controls management, or regulatory compliance practices.
• FINRA Series 7 and Series 9/10 or Series 24 licenses.
• Experience partnering with technology teams on workflow automation, reporting, data analytics, AI-enabled solutions, or technology modernization initiatives.
• Experience with project portfolio management, workflow, reporting, data visualization, governance, or supervisory technology platforms.
• Experience leading organizational change, readiness, or large-scale business transformation efforts.
• Guide critical business and regulatory initiatives through the supervisory change lifecycle by assessing supervisory impacts and coordinating enhancements to governance materials, controls, procedures, training, and communications.

What’s in it for you

At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. 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

• Bachelor's degree or equivalent combination of education and relevant experience.
• 5+ years of experience in one or more of the following areas: financial services, wealth management, banking, broker-dealer operations, registered investment advisory services, risk management, compliance, legal, internal audit, regulatory examination, consulting, product management, technology delivery, or change management.
• Experience leading complex, cross-functional initiatives from planning and assessment through implementation and execution.
• Knowledge of wealth management, retail brokerage, banking, or financial services products, services, and regulatory environments.
• Experience conducting risk assessments, evaluating controls, documenting findings, and developing recommendations or business requirements.
• Strong written and verbal communication skills, including experience presenting recommendations, risks, and business decisions to senior stakeholders.
• Experience building relationships and influencing outcomes across multiple teams and organizational levels.
• Ability to analyze business and operational data to support decision-making and risk management.
• Proficiency with Microsoft 365 tools, including Excel, PowerPoint, Word, Teams, and SharePoint.

Preferred Qualifications:

• Advanced degree such as an MBA, JD, or related graduate-level credential.
• Experience within wealth management, retail brokerage supervision, regulatory oversight, or investment advisory environments.
• Knowledge of supervisory programs, risk frameworks, controls management, or regulatory compliance practices.
• FINRA Series 7 and Series 9/10 or Series 24 licenses.
• Experience partnering with technology teams on workflow automation, reporting, data analytics, AI-enabled solutions, or technology modernization initiatives.
• Experience with project portfolio management, workflow, reporting, data visualization, governance, or supervisory technology platforms.
• Experience leading organizational change, readiness, or large-scale business transformation efforts.
• Guide critical business and regulatory initiatives through the supervisory change lifecycle by assessing supervisory impacts and coordinating enhancements to governance materials, controls, procedures, training, and communications.

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.