Charles Schwab Sr. Team Manager, Third Party Risk Management in Westlake, Texas


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

Julie Rulis


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 at 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 Culture:

Through Clients’ Eyes:

Our Opportunity:

In Corporate Risk Management, we provide an integrated risk management strategy that supports the delivery of predictable financial and operational performance in order to produce successful client and shareholder outcomes. We are organized around six primary functions: Bank Risk, Enterprise Risk, Information Security Risk, Market and Investment Risk, Model Risk and Operational Risk. Within each of these areas, we develop a framework for how much risk we are willing to accept as a firm and establish processes for identifying, evaluating, measuring, monitoring and reporting against that framework.

In this role you will lead a team in the management and execution of ongoing Third-Party Risk Management program activities. You will provide governance of third-party risk management policies and procedures, and establish standards and requirements for third-party management processes. You will also oversee the validation of third-party management activities and the management and monitoring of third-party risks and controls. You will facilitate consulting engagements with third-party management for the enhancement of processes and controls and draft materials for reporting to leadership and management committees on third-party risk metrics, validation testing results, and program status.

What you’ll do:

  • Lead the execution of Third-Party Risk Management program activities to oversee, monitor, assess, and report on third-party risk

  • Facilitate governance of third-party service provider risk management related policies

  • Define and document standards and requirements for the execution of third-party management processes

  • Perform validation testing activities on third-party management processes and controls to confirm adherence with policies, procedures, regulatory requirements/guidance, and industry best practices

  • Effectively communicate with senior leadership and provide reporting on validation testing activities including identified exceptions and remediation action plans in a clear and concise manner

  • Perform oversight of third-party risks and controls documented in Risk and Control Self-Assessments through execution of periodic assessments and quality assurance reviews

  • Communicate and escalate third-party risk and control issues identified in the activities associated to the RCSA Third-Party Management Oversight Program

  • Develop periodic reporting on third-party management risk-based metrics and effectiveness of third-party management practices and controls

  • Provide consultative support and collaborate with business partners and third-party management stakeholders to identify enhancement opportunities to strengthen third-party management processes and controls

  • Coordinate with the Corporate Operational Risk Liaisons for Corporate and Bank vendor management on the development of quarterly reporting of third-party risk metrics to management committees

  • Develop quarterly reporting to management committees outlining validation testing results and program status

  • Facilitate quarterly third-party risk oversight meetings with business partners and third-party management stakeholders

  • Assist with gathering data and providing information during Internal Audit Reviews and Regulatory Examinations for Operational Risk Management and Third-Party Risk Management

  • Execute ad-hoc projects as needed

  • Develop and maintain a good working relationship with colleagues in other risk and control functions, including Corporate Vendor Management, Bank Outsourcing and Oversight Management and other Corporate Risk Management teams

What you have:

  • 5+ years’ experience in third-party management, audit, oversight, SOX testing, operational risk management, or similar role

  • Master’s in Business Administration preferred

  • Independent judgment with strong analytical and risk assessment skills

  • Knowledge of third-party management, internal controls, financial/banking regulations and risk assessment and mitigation

  • Project management skills with ability to work independently and with a team, prioritize and manage multiple projects and succeed in a fast-paced, heavy workload environment

  • 2+ years of team leadership and management experience

  • Strong written and verbal communication skills with a proven track record of building effective working relationships with internal and external business partners and senior leaders

What you’ll get:

  • Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions

  • Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts

  • Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer

  • 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 at" .

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: None

Relevant Work Experience: Internal Audit

Position Located In: TX - Westlake

Education: BA/BS

Job Type: Full Time

Category:Risk Management

Activation Date: Monday, May 8, 2017

Expiration Date: Saturday, July 1, 2017

Apply Here