Director, Retail Advisory & Regulatory Experience

The Director, Retail Advisory & Regulatory Experience will lead a team that will play a pivotal role in supporting Retail Disclosure Management and Regulatory Initiatives. The successful candidate will possess a combination of project execution skills, strategic thinking, regulatory knowledge, and relationship management abilities that allows them to quickly shift from strategic thinking to tactical execution.

The Retail Advisory & Regulatory Experience team is responsible for the following interrelated functions: • Retail Advisory Advice Experience: Represent Retail Advisory needs and provide sponsor-level support for CS&Co.’s advisory products, including representing the retail perspective on Advisory-related initiatives & priorities, ensuring Advisory products are properly integrated within retail channels, and facilitating the Advisory Products Sponsor Council. • Advice Documentation Business Ownership: Serve as business owner of Advice Documentation (e.g., Salesforce, BST) and processes (e.g., MID), including business requirements, issue resolution, change management, resource maintenance (e.g., data tables, Advice Spectrum), training and audit/regulatory inquiry. • Retail Disclosure Management:

Manage the Disclosure Management program for Retail, including coordination across retail, reporting to key governance forums, and the management of critical retail-owned disclosures. • Regulatory Initiatives: Develop & implement solutions to address regulatory change as well as improve existing regulatory processes as well as provide thought partnership on critical projects, largely focused on regulation and controls. To fulfill this vision, under the supervision of the Director, the team will collaborate with a broad set of stakeholders and partners— including executive leadership, field, and client-facing colleagues, legal and compliance, product, and technology to ensure key decisions are designed with a focus on the client and/or user experience and executed smoothly across the organization.

What you’ll do: • Manage the Disclosure Management program for Retail, including coordination across retail, reporting to key governance forums, and the management of critical retail-owned disclosures. • Lead strategic regulatory initiatives or remediation efforts, partnering with internal stakeholders including sales, marketing, operations, legal, compliance, and supervision to develop a point of view on cross-organizational decisions, develop executive-level materials to support these topics, and effectively drive decisions across a diverse set of stakeholders with unique needs. • Own the development of as well as the facilitation of key governance forums for Retail Advice products. • Proactively identify opportunities within Disclosures requiring attention or strengthening and work collaboratively with cross-functional partners to implement improvements in line with applicable regulations, and/or internal policies. • Drive the process for preparing for various risk committees and audits, working closely with SME product partners, and risk committee representatives. • Research and analyze regulatory trends and evaluate applicability or risk exposure. • Envision the future, rationalize tradeoffs, and drive decisions across a diverse set of stakeholders. • Activate leading large, complex cross-functional projects, with cross-functional stakeholders, through ambiguity to successful execution, structuring meetings to drive to a conclusion and move agenda forward. • Create executive-level PowerPoint materials and telling a compelling story to influence stakeholders and leadership. • Develop trusted partnerships across the organization, including both business and control partners, to gather insights, and inform and deliver upon the strategy. • Demonstrate a passion for understanding regulation, learning it, understanding how it impacts how Schwab gives advice and supports its retail clients. • Exhibit a strong understanding of retail disclosure requirements and impacts of business or regulatory change on disclosure requirements. What you have • A curious mind with a can-do attitude and think critically to solve problems, understand complex regulatory issues, and thrive in a complex, dynamic environment. • Rapid comprehension of complex situations and an ability to distill decision optionality to leadership for strategic alignment. • Mastery in creating and communicating executive-level PowerPoint materials to tell a compelling story and drive leadership decisions. • Ability to synthesize data, identify opportunities, make recommendations, and create plans to deliver experiences that meet the needs of highly affluent investors. • Leadership and relationship-building skills, including ability to influence and drive decisions across all levels of the organization. • Agility to thrive in a dynamic and fast-moving work environment, including the ability to make significant progress with minimal direction and adjust priorities. • Strong attention to detail, and the ability to multi-task and work efficiently to meet tight deadlines with little supervision. • Strong sense of urgency and proactive approach • Strong planning and organizational skills; ability to manage multiple projects that vary in scope and complexity simultaneously. • Strong knowledge of Microsoft Excel, Word, PowerPoint, and Adobe PDF required. • Bachelor’s degree required; MBA preferred. • 10 years Financial Services experience; relevant regulatory, disclosure and/or strategy experience preferred. • Series 7 and 24 required, Series 9/10 preferred. • Base Compensation: $101,000 - $224,000. Your compensation may be different.

Talk with your Talent Advisor to learn more. In addition to the salary range, this role is also eligible for bonus or other incentive opportunities. What’s in it for you At Schwab, we’re committed to empowering our employees’ personal and professional success.

Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis. We offer a competitive benefits package that takes care of the whole you – both today and in the future: • 401(k) with company match and Employee stock purchase plan • Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions • Paid parental leave and family building benefits • Tuition reimbursement • Health, dental, and vision insurance