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Our opportunity: The position is in the Financial Crimes Risk Management’s Risk Assessment team (“FCRM RA”) within Corporate Risk Management. FCRM RA is responsible for the implementation, oversight, and enhancement of the second line of defense functions. These functions include assessing the risk of the BSA/AML Program, Economic Sanctions, Conduct, and External Fraud.
What you’ll do: You will be part of a team charged with coordinating and supporting the FCRM oversight and risk assessment processes. The Senior Manager will collaborate and support the execution of FCRM RA’s strategy. This is an individual contributor role reporting to the Senior Team Manager of FCRM Risk Assessment within the Quality Risk Management organization and will be based in Westlake, TX; Denver, CO; Phoenix, AZ; or Chicago, IL
What you have: A successful candidate must possess attributes of leadership, critical thinking, collaboration, and analytical skills; have familiarity with relevant industry trends; and be able to appropriately use a variety of resources to research and identify solutions.
Your Opportunity
Our opportunity: The position is in the Financial Crimes Risk Management’s Risk Assessment team (“FCRM RA”) within Corporate Risk Management. FCRM RA is responsible for the implementation, oversight, and enhancement of the second line of defense functions. These functions include assessing the risk of the BSA/AML Program, Economic Sanctions, Conduct, and External Fraud.
What you’ll do: You will be part of a team charged with coordinating and supporting the FCRM oversight and risk assessment processes. The Senior Manager will collaborate and support the execution of FCRM RA’s strategy. This is an individual contributor role reporting to the Senior Team Manager of FCRM Risk Assessment within the Quality Risk Management organization and will be based in Westlake, TX; Denver, CO; Phoenix, AZ; or Chicago, IL
What you are good at
The following are highlights of the key responsibilities for this role:
- Perform oversight function of the firm’s Risk & Controls Self-Assessment (RCSA) related to all aspects of financial crimes
- Lead discussions with internal business partners to identify financial crimes risks and controls within their business processes
- Support ongoing processes in risk assessments including data collection, analysis, and report writing
- Conduct independent analysis and research in regulatory and risk initiatives related to financial crimes
- Support audit and external regulatory inquiries, including Internal Audit and Compliance/Operational Risk Testing
- Aid in the preparation of presentation materials for the Board and senior management risk committees
- Collaborate with key stakeholders in FCRM and within Corporate Risk Management to identify and address potential concerns
- Maintain and build-on a keen understanding and awareness of the financial crimes risk around product offerings, regulatory environment, and the Firm’s policies
What you have
What you have: A successful candidate must possess attributes of leadership, critical thinking, collaboration, and analytical skills; have familiarity with relevant industry trends; and be able to appropriately use a variety of resources to research and identify solutions.
- A solid understanding of financial crimes and how associated processes relate to FCRM’s goals in protecting the firm
- 5-7 years of risk assessment and/or experience in corporate governance and risk management from an enterprise-wide perspective
- Strong data analytical skills including advanced skills in Excel
- Excellent written and verbal communication skills with a demonstrated ability to communicate effectively with all levels of an organization
- Ability to effectively and quickly build relationships and establish trust, respect, competence and confidence with internal and external business partners.
- Experience consulting with all levels of management and working collaboratively with various groups with potentially disparate objectives
- Self-motivation, the ability to multi-task, to perform under strict deadlines, and to develop new processes
- The ability to be flexible, use sound judgment, solve problems, work under pressure, and meet tight deadlines
- A positive attitude, enthusiasm, maturity, professionalism and strong work ethic with high level of integrity
- The mindset to embrace challenges and consider new ideas
- The ability to effectively collaborate with other team members while working on multiple projects
Why work for us?
Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.
Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further.
Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal 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 the policy.
Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at [email protected] or call 800-275-1281.
TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.
