Director, IAM Regulatory Program

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Charles Schwab & Co., Inc.
Full Time
Work from home not available Travel not required

Job Description


Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616
Leticia Mitchell

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

Identity and access management (IAM) technologies and business processes enable the creation, maintenance, and use of digital identity — ensuring that the right people gain access to the right materials and records at the right time. The IAM program serves the needs of Schwab by implementing IAM best practices via technologies and methods that improve convenience and ease of access for workforce members while safeguarding records and other key data.  As a Director, IAM Regulatory Program, you will report to the Managing Director of IAM Operations and be responsible for driving IAMs adherence to regulatory requirements, implementing process improvements based on gap assessments, developing an approach and materials for continuous monitoring and coordinating execution of the IAM Roadmap as it relates to Regulatory and Compliance matters.

What you’ll do:

The Director is responsible for coordinating execution of the IAM Roadmap as it relates to Regulatory and Compliance matters, implementing controls to adequately address regulations and identified issues, implementing new processes, tools or controls, and facilitating responses for regulatory inquiries and exams. In addition to responding to regulators, this role will also be engaging with Senior Leadership at Schwab to ensure a consistent message is being delivered to regulators and Management’s expectations are being met.

Processes and responsibilities will include:

  • Manage the Regulatory Program within the IAM organization, ensuring alignment with the overall IAM Roadmap with addressing operational gaps;
  • Serve as a liaison between IAM and the business, providing overall support and guidance to ensure compliance to the firm’s Information Security and Access Administration policies;
  • Follow and enhance processes and procedures that govern IAM and Schwab Cybersecurity;
  • Contribute to, planning, orchestrating, and delivering regulatory initiatives including legal, operational, and information technology deliverables;
  • Rigorously manages scope of regulatory projects to ensure commitments are achieved within agreed upon time, cost, and quality parameters;
  • Liaise with internal stakeholders in Schwab Technology Services, ISRM, Compliance, Regulatory Liaison Office and Internal Audit, etc;
  • Evaluate regulatory and audit items and provide recommendations on remediation approach and timelines;
  • Facilitate cross-organizational meetings to ensure progress in on plan to target;
  • Lead regulatory gap assessments against current state, including sustainability of remediation plans;
  • Develop and/or coordinate content development for reports and communication going to regulators and Senior Management;

What you have:

  • 10+ years of experience in an IT, Cybersecurity and/or IT Auditing, IT Project Management, preferably in the Financial Services industry;
  • Excellent organizational skills, strong attention to detail and proven project management skills;
  • Demonstrated understanding of process flows with the ability to identify control gaps that leave the firm susceptible to risk;
  • Knowledge of laws and regulations surrounding the financial services sector is a plus;
  • Strong background in Technology Services, with specific experience with the concepts of Identity and Access Management;
  • Proven ability to quickly build relationships and earn the trust of sponsors and key stakeholders;
  • Ability to organize teams, establish direction and approach, resolve conflict, deliver tough messages with grace;
  • Ability to navigate a highly matrixed organization effectively;
  • Ability to communicate verbally and in writing at all levels within the organization, including with regulators, with clarity and precision;
  • Must have excellent analytical and problem solving skills with the ability to execute process improvements and solutions;
  • Proven success in working collaboratively, improving productivity, and designing/coordinating the implementation of ideas;
  • Excellent teamwork, interpersonal and communication skills with demonstrated ability to partner with senior management teams across the firm;
  • Ability to develop and propose potential solutions and plans for next steps, exhibiting confidence in anticipating obstacles and the consequences of decisions in order to drive projects forward;
  • Ability to work independently, exercising good judgment under minimal supervision, maintaining effectiveness and efficiencies in their day-to-day workload;
  • BA/BS Degree.

You demonstrate these behaviors:

Curious: Constantly learns more about our clients, competitors, industry and the broader market to drive insights and decisions

Innovative: Defines a compelling vision of the future, and develops breakthrough ideas, whether big or small, that support that vision

Committed to Excellence: Sets ever increasing standards for performance, holding self and others accountable

Talent Magnet: Seeks out and attracts strong internal and external talent

Talent Developer: Actively fosters the growth and development of individuals

Overcomes Barriers: Takes responsibility for addressing obstacles that hinder our people and our business

What you’ll get:

  • Comprehensive Compensation and Benefits package
  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
  • Not just a job, but a career, with an opportunity to do the best work of your life

Learn more about Life@Schwab.

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.

If you need an accommodation in the application process, please email or call HR Direct at 800-725-3535.

Job Specifications
Relocation Offered?:No
Work Schedule:Days
Languages:English - spoken
Current Licenses / Certifications:None
Relevant Work Experience:IT-Management/Technical Project Mgmt-6+ yrs
Position Located In:TX - Westlake
Job Type:Full Time

Category:Information Technology
Activation Date: Wednesday, March 13, 2019
Expiration Date: Saturday, June 1, 2019
Apply Here

Company Information

At Schwab, we inspire the driven; individuals who want to take ownership of their career and their future. You are appreciated for your work, respected for your unique strengths and rewarded for the possibilities you create for our clients. Working in Schwab Technology is not just a job; it's an opportunity to do the best work of your life. This team drives Schwab's mission to harness the power of data to deliver the next gen client experience. They relentlessly pursue simplification and modernization, laying the foundation for the digital enterprise. They act boldly together to provide security for our clients and enterprise, safeguarding client trust all while delivering on their core commitments to availability, capacity and project execution with excellence and efficiency. If you are looking to be challenged with projects that stretch and grow your abilities, and push you towards further developing your expertise, apply to one of our openings today.
Dice Id : 10228622
Position Id : 20190222-1120

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