Managing Director, Regulatory Liaison Office (Westlake)
Your opportunity Managing Director, Regulatory Liaison Office The Managing Director, Regulatory Liaison Office, serves as a senior advisor responsible for providing strategic counsel on supervisory expectations. This role partners closely with senior business leaders and the Chief Counsel to interpret evolving regulatory requirements, mitigate risk, and enable safe and sound growth across the firm. The position operates at an enterprise level, influencing decision-making, regulatory engagement, and regulatory strategy across all financial and operational resiliency risks. This role is critical to enabling the firm to navigate an increasingly complex regulatory landscape while supporting the growth of the firm. By providing expert guidance, the Managing Director helps protect the firm from regulatory risk, supports market innovation, and ensures a strong foundation for client-facing trading capabilities. Key Responsibilities Advisory & Regulatory Interpretation Provide expert guidance on regulatory expectations, emerging supervisory priorities, and strategic risk considerations. Deliver credible, actionable guidance on complex regulatory matters, helping leadership make informed business decisions while maintaining a strong control environment and regulatory compliance. Advise on complex or ambiguous regulatory matters and translate requirements into practical business guidance. Risk Management & Governance Identify and assess the potential impact of prudential rules and guidance, supervisory findings, emerging risks, and regulatory changes on the firm’s risk profile and control environment. Provide independent and objective perspectives on significant regulatory matters, promoting sound decision-making and effective governance. Advise senior management and the Board on regulatory, operational, compliance, and reputational risks associated with strategic business decisions. Guide the development and implementation of sustainable remediation strategies, governance enhancements, and risk management practices. Strategic Business Partnership Partner with business, risk, legal, compliance, and corporate governance leaders to align regulatory expectations with strategic objectives. Serve as a trusted advisor to executive leadership, providing practical solutions that support business growth while maintaining regulatory compliance and strong risk management. Foster collaboration across functions to address complex regulatory issues and drive effective enterprise-wide outcomes. Build stakeholder confidence through responsiveness, sound judgment, deep industry knowledge, and an unwavering commitment to client service. Regulatory Engagement & Advocacy Lead strategic engagement with the Federal Reserve and other regulatory agencies, establishing relationships founded on credibility, transparency, and mutual respect. Act as a principal liaison between regulators, senior management, and the Board, ensuring clear, consistent, and effective communication. Influence regulatory interactions by articulating the firm’s strategy, risk management practices, governance framework, and remediation progress with confidence and professionalism. Develop and execute regulatory engagement strategies that enhance the firm’s reputation, strengthen supervisory relationships, and promote constructive dialogue with regulators. Earn the confidence of regulators and internal stakeholders through integrity, sound judgment, executive presence, and demonstrated expertise in navigating complex supervisory environments. Basic Qualifications (Required Experience) 15 years of experience in financial services, banking regulation, regulatory affairs, risk management, compliance, or management consulting. MBA, JD, Master's degree in Finance, Economics, Public Policy, Risk Management, or related discipline. Deep expertise in Federal Reserve supervision and regulatory expectations applicable to large banking organizations and financial institutions. Demonstrated ability to advise executive leadership and Boards of Directors on complex regulatory, governance, and risk matters. Proven track record leading regulatory engagements and building trusted relationships with Federal Reserve, OCC, FDIC, SEC, FINRA, or other supervisory agencies. Preferred Qualifications (Preferred Experience) Experience operating at an enterprise level within a large, regulated financial institution Established credibility with Federal Reserve and other prudential regulators through direct supervisory, regulatory affairs, or examination management experience. Experience leading high‑profile regulatory interactions, including examinations, supervisory meetings, horizontal reviews, and regulatory response efforts. Demonstrated ability to influence strategic decisions through credible challenge, sound judgment, and practical recommendations. Strong cross-functional collaboration skills with the ability to influence Legal, Risk, Compliance, and business teams Work Environment & Scope Enterprise-level role within Legal Services Direct oversight of Director-level experts (span of control: 5 direct reports) Regular engagement with board members, senior business leaders, regulators, and external stakeholders High-impact role influencing regulatory risk posture and business strategy What you have Qualifications (Required Experience) 15 years of experience in financial services, banking regulation, regulatory affairs, risk management, compliance, or management consulting. MBA, JD, Master's degree in Finance, Economics, Public Policy, Risk Management, or related discipline. Deep expertise in Federal Reserve supervision and regulatory expectations applicable to large banking organizations and financial institutions. Demonstrated ability to advise executive leadership and Boards of Directors on complex regulatory, governance, and risk matters. Proven track record leading regulatory engagements and building trusted relationships with Federal Reserve, OCC, FDIC, SEC, FINRA, or other supervisory agencies. Preferred Qualifications (Preferred Experience) Experience operating at an enterprise level within a large, regulated financial institution Established credibility with Federal Reserve and other prudential regulators through direct supervisory, regulatory affairs, or examination management experience. Experience leading high‑profile regulatory interactions, including examinations, supervisory meetings, horizontal reviews, and regulatory response efforts. Demonstrated ability to influence strategic decisions through credible challenge, sound judgment, and practical recommendations. Strong cross-functional collaboration skills with the ability to influence Legal, Risk, Compliance, and business teams Work Environment & Scope Enterprise-level role within Legal Services Direct oversight of Director-level experts (span of control: 5 direct reports) Regular engagement with board members, senior business leaders, regulators, and external stakeholders High-impact role influencing regulatory risk posture and business strategy What’s in it for you At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. 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 J-18808-Ljbffr
