Sr Specialist, 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.
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 Westlake, TX.
Within the Regulatory Liaison Office, our Prudential Regulatory (RLO-PR) team leads, guides, and helps shape the company’s regulatory interactions. RLO-PR is primarily responsible for Schwab’s engagement with its banking regulators, including the Federal Reserve, FDIC and CFPB.
The Senior Specialist, Regulatory Operations plays a critical role in supporting all operational aspects of prudential exam management. This role delivers high‑quality service to minimize regulatory burden on the exam support team and business stakeholders, while helping ensure a consistent, repeatable, and auditable exam management process. The Senior Specialist coordinates and schedules exam meetings, tracks and ensures the timely delivery of exam request documentation to regulators, and supports the development of tools, policies, and procedures that establish and reinforce regulatory protocols.
What you have
Required Qualifications
College degree or equivalent work experience
Recent experience interacting directly with regulators in the financial services industry
Preferred Qualifications
Strong analytical and organizational skills and excellent attention to detail.
Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization.
Excellent problem-solving skills and an intellectual curiosity and desire to “figure things out.”
Ability to interpret regulations and regulatory guidance and apply them to real world business scenarios.
Proficiency in Microsoft Office programs (Word, PowerPoint, Excel, SharePoint)
What you;ll do:
In this role, you’ll have the opportunity to:
Provide administrative support across pre‑, intra‑, and post‑exam activities
Implement process improvements to reduce administrative burden for the Regulatory Liaison Office exam team
Organize, maintain, and manage continuous monitoring and exam-related documents and records
Schedule multi‑participant regulatory exam and continuous monitoring meetings
Create, update, and maintain departmental procedures, policies, and processes
Ensure timely delivery of responses to regulatory exam requests, including required document uploads
Monitor and manage the Regulatory Liaison Office functional mailbox, ensuring appropriate review and response
Create, update, and maintain exam-related templates
In addition to the salary range, this position is also eligible for bonus or incentive opportunities
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
What you are good at
What you have
Required Qualifications
College degree or equivalent work experience
Recent experience interacting directly with regulators in the financial services industry
Preferred Qualifications
Strong analytical and organizational skills and excellent attention to detail.
Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization.
Excellent problem-solving skills and an intellectual curiosity and desire to “figure things out.”
Ability to interpret regulations and regulatory guidance and apply them to real world business scenarios.
Proficiency in Microsoft Office programs (Word, PowerPoint, Excel, SharePoint)
What you;ll do:
In this role, you’ll have the opportunity to:
Provide administrative support across pre‑, intra‑, and post‑exam activities
Implement process improvements to reduce administrative burden for the Regulatory Liaison Office exam team
Organize, maintain, and manage continuous monitoring and exam-related documents and records
Schedule multi‑participant regulatory exam and continuous monitoring meetings
Create, update, and maintain departmental procedures, policies, and processes
Ensure timely delivery of responses to regulatory exam requests, including required document uploads
Monitor and manage the Regulatory Liaison Office functional mailbox, ensuring appropriate review and response
Create, update, and maintain exam-related templates
In addition to the salary range, this position 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.