Sr Specialist, Regulatory Liaison Office at Charles Schwab · Westlake

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.

 

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. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in Westlake, TX.

 

Within the Regulatory Liaison Office, our Prudential Regulatory (RLO-PR) team leads, guides, and helps shape the company’s regulatory interactions. RLO-PR is primarily responsible for Schwab’s engagement with its banking regulators, including the Federal Reserve, FDIC and CFPB.

The Senior Specialist, Regulatory Operations plays a critical role in supporting all operational aspects of prudential exam management. This role delivers high‑quality service to minimize regulatory burden on the exam support team and business stakeholders, while helping ensure a consistent, repeatable, and auditable exam management process. The Senior Specialist coordinates and schedules exam meetings, tracks and ensures the timely delivery of exam request documentation to regulators, and supports the development of tools, policies, and procedures that establish and reinforce regulatory protocols.

Required Qualifications

• College degree or equivalent work experience

• Recent experience interacting directly with regulators in the financial services industry

Preferred Qualifications

• Strong analytical and organizational skills and excellent attention to detail.

• Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization.

• Excellent problem-solving skills and an intellectual curiosity and desire to “figure things out.”

• Ability to interpret regulations and regulatory guidance and apply them to real world business scenarios.

• Proficiency in Microsoft Office programs (Word, PowerPoint, Excel, SharePoint)

What you;ll do:

 

In this role, you’ll have the opportunity to:

• Provide administrative support across pre‑, intra‑, and post‑exam activities

• Implement process improvements to reduce administrative burden for the Regulatory Liaison Office exam team

• Organize, maintain, and manage continuous monitoring and exam-related documents and records

• Schedule multi‑participant regulatory exam and continuous monitoring meetings

• Create, update, and maintain departmental procedures, policies, and processes

• Ensure timely delivery of responses to regulatory exam requests, including required document uploads

• Monitor and manage the Regulatory Liaison Office functional mailbox, ensuring appropriate review and response

• Create, update, and maintain exam-related templates

In addition to the salary range, this position is also eligible for bonus or incentive opportunities