Senior Manager, Regulatory and Supervisory Change Management

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.

 

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.

What you have

Required Qualifications:

• 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.