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About the Role

The Director, Artificial Intelligence Compliance leads an enterprise compliance risk management program supporting the company’s strategic initiatives to leverage artificial intelligence. This role partners with businesses, Compliance, Legal, and Internal Audit across various regulated entities, requiring expertise in broker/dealer, investment adviser, banking, and other disciplines. The role demands enterprise-wide thinking and exceptional collaboration to support Schwab's business objectives.

Responsibilities

Leads an enterprise compliance risk management program that supports the company’s many key strategic initiatives to leverage artificial intelligence.
Engages through disparate regulated entities, and requires facility with multiple subject matter disciplines, including broker/dealer, investment adviser, banking, and others.
Models and exhibits enterprise-wide thinking and exceptional collaboration to support Schwab's business.
Helps shape the strategic direction of the companywide compliance risk management programs.
Takes personal ownership of their assigned compliance risk management program and shared accountability for the successful execution of the Schwab compliance risk management program.
Demonstrates vivid day-to-day evidence of enterprise-wide thinking, bringing the full Schwab Compliance perspective to every aspect of the job.
Exhibits exceptional collaboration and boundaryless cooperation with peers on the Schwab Compliance Team demonstrating the lived values of #OneSchwab and #OneSchwabCompliance.
Acts as a purpose-driven leader who displays confidence and courage in business decisions, actions, and communications.
Takes decisive action when needed, including championing ideas, positions, or dissent.
Engages with Senior and Executive Leaders at all levels across Schwab.
Leads Schwab Compliance’s engagement with specific key stakeholders based on their assigned business support responsibilities.
Identifies, assesses, mitigates, measures, and monitors Compliance risks consistent with the Enterprise Risk Management Framework.
Influences compliance and controls while building strong internal and external partnerships and providing guidance to varied stakeholders.
Navigates and activates alignment across organizational silos.
Provides a clear, independent risk management perspective in accordance with the Board-approved risk appetite.
Develops programs effectively to meet potentially differing regulatory requirements and expectations while being workable for business partners.
Communicates and influences across channels with a purpose.
Interacts with and influences senior leaders across business lines and functions through innovative and creative means.
Brings a strategic focus to the function and is capable of adding value to the business.
Anticipates the possible demands and outcomes of a particular task or situation – plans and prioritizes appropriately.
Builds relationships and establishes trust, respect, competence, and confidence effectively and quickly.

Requirements

Minimum 10 years of related work experience in compliance, and risk management and anti-money laundering.
Minimum 5 years working with technology governance.
Deep competencies in relevant financial services; securities laws and regulations; banking laws and regulations; consumer protection; anti-money laundering and privacy.
Embraces an enterprise view in identifying, assessing, mitigating, measuring, and monitoring Compliance risks consistent with the Enterprise Risk Management Framework.
Demonstrated success in transforming organizations into a highly collaborative environment.
Thrives on initiating, building, and cultivating strong authentic relationships inside and outside the group.
Highly collaborative; navigates and activates alignment across organizational silos.
Manages complex, multistakeholder issues with resilience, embraces others’ perspectives and understands the limits to their own points of view.
Possesses strong business drivers and perspectives combined with broad management and commercial skills.
Client focused.

Skills

Artificial Intelligence Compliance
Enterprise compliance risk management
Broker/dealer
Investment adviser
Banking
Technology governance
Financial services
Securities laws and regulations
Banking laws and regulations
Consumer protection
Anti-money laundering
Privacy
Enterprise Risk Management Framework
Collaboration
Communication
Influencing
Relationship building
Risk management
Strategic thinking
Emotional intelligence
Executive presence

Location

Remote

Work Type

Full-time

Experience Level

Director
Minimum 10 years of related work experience
Minimum 5 years working with technology governance

Education Level

Post-secondary degree
JD
MBA

About the Company

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.
In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the firm.