<p>Your Opportunity</p> <p>Director - Compliance Risk Testing (Investment Advisory/Investment Company)</p> <p>Our Opportunity:</p> <p>Compliance Risk Testing provides independent, risk-based assurance across Schwab's advisory, asset management, and related regulated businesses. This Director role leads enterprise-level testing strategy and execution across complex regulatory domains, ensuring emerging risks are identified early, assessed consistently, and communicated clearly to senior leaders and regulators.</p> <p>This leader sets the direction for risk-based test planning, scope development, and execution, while building and sustaining a high-performing, distributed team of compliance professionals. The role requires deep regulatory expertise, strong executive presence, and the credibility to operate effectively across Compliance, Internal Audit, Legal, and the business.</p> <p>What you will do:</p> <ul> <li>Own the design, execution, and ongoing enhancement of a risk-based compliance testing program covering investment advisory, investment company, and asset management activities. </li><li>Develop and maintain enterprise-level compliance risk assessments that drive test planning, scoping, prioritization, and testing frequency. </li><li>Lead end-to-end testing activities-including planning, execution, quality assurance, issue identification, and escalation-across multiple concurrent testing portfolios. </li><li>Deliver clear, concise, and board-ready reporting on testing results, trends, and emerging risk themes to senior leadership, governance forums, and regulators. </li><li>Partner closely with Compliance leadership, Internal Audit, Legal, Corporate Risk Management, and business stakeholders to align testing coverage with regulatory expectations and business change. </li><li>Lead, develop, and motivate a geographically distributed team of compliance testing professionals, reinforcing strong governance, accountability, metrics, and consistent execution. </li><li>Influence enterprise risk management practices as Schwab evolves through regulatory, business, and organizational change. </li></ul> <p>What you have</p> <p>Required Qualifications (Must-Have)</p> <ul> <li>Bachelor's degree required. </li><li>Significant experience (typically 15+ years) in compliance testing, regulatory examinations, internal audit, or risk assessment within investment advisory, asset management, or broker-dealer environments. </li><li>Demonstrated people-leadership experience managing geographically distributed teams and balancing complex, multi-workstream testing portfolios. </li><li>Proven ability to design, implement, and mature risk-based compliance testing programs, including test planning, scoping, execution, and quality assurance. </li><li>Deep working knowledge of SEC, FINRA, and related regulatory requirements, with the ability to apply regulatory expectations to evolving business models. </li><li>Strong executive-level communication skills, including experience presenting risk themes, testing outcomes, and remediation expectations to senior leadership and regulators. </li></ul> <p>Preferred / Value-Add Qualifications</p> <ul> <li>Experience building enterprise-wide compliance risk assessments that directly inform testing strategy and coverage. </li><li>Leadership experience across Internal Audit, second-line compliance testing, and/or regulatory examination functions. </li><li>Board-facing reporting experience and demonstrated executive presence. </li><li>Professional compliance certifications or licenses (e.g., CICCP, Investment Adviser Representative). </li><li>Familiarity with Schwab's operating model, culture, and regulatory landscape. </li></ul>