Sr. Manager, Incoming Client Due Diligence

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.

Corporate Vendor Management at Charles Schwab & Co. leads a firm-wide, end-to-end vendor relationship management process designed to maximize vendor performance and value. The organization identifies, mitigates, monitors, and manages vendor risk while helping Schwab meet regulatory and compliance requirements.

The Incoming Due Diligence team plays an important role in supporting Schwab’s commercial client relationships by coordinating responses to client due diligence, risk, and audit requests. In this highly visible role, you will work across the organization with Legal, Compliance, Technology, Risk, and other subject matter experts to deliver accurate, consistent, and timely information. Your work will strengthen client trust, advance operational excellence, and help Schwab continue to lead with integrity and service above all.

As a Sr. Manager, Incoming Client Due Diligence, you will be a senior individual contributor leading complex engagements and high-impact initiatives. You will have the opportunity to influence how the program evolves by modernizing processes, strengthening content governance, and scaling operational capabilities. This is an opportunity to own meaningful work, collaborate with talented partners across One Schwab, and build expertise at the intersection of client service, risk, technology, and vendor management.

• →Lead complex and high-profile client due diligence requests from intake through delivery, balancing quality, consistency, and responsiveness.
• →Collaborate on regulatory inquiries, RFP responses, contract negotiation reviews, and remediation efforts.
• →Serve as a trusted advisor on due diligence processes, SIG questionnaires, SOC reports, cybersecurity inquiries, risk documentation, and content interpretation, providing clear guidance to business partners and team members.
• →Lead large-scale due diligence projects and content attestation initiatives, including annual attestation activities, documentation maintenance, and deliverables involving multiple stakeholders.
• →Build strong partnerships across key business units and with Legal, Compliance, Technology, and Risk to resolve issues efficiently and support business objectives.
• →Apply sound judgment, analytical thinking, and deep functional expertise to evaluate complex situations, recommend practical solutions, and drive successful outcomes.
• →Govern the lifecycle of due diligence content, including response accuracy, documentation integrity, version control, and adherence to established standards and processes.
• →Identify opportunities to modernize, automate, and scale team processes, tools, and content management practices while maintaining a consistent client experience.
• →Analyze metrics, trends, risks, and recurring client requests to improve service delivery, content quality, and program effectiveness.
• →Monitor evolving industry trends, regulatory developments, and stakeholder expectations to anticipate potential impacts and strengthen program agility.
• →Share best practices, contribute to cross-functional initiatives, and represent the team in key forums.

This is a summary only, and duties and responsibilities may change over time.

To ensure that we fulfill our promise of “challenging the status quo,” this role has specific qualifications that successful candidates should have.

• Bachelor’s degree or equivalent professional experience.
• 5+ years of experience in operational risk, vendor management, compliance, audit, financial services, or a related field, preferably in a regulated industry.
• Working knowledge of incoming due diligence, content management, risk management, third-party oversight, and related business processes.
• Advanced proficiency with Microsoft Office.
• Demonstrated ability to serve as a trusted advisor and subject matter expert on complex requests and content management matters.
• Advanced analytical, problem-solving, and decision-making skills, including the ability to evaluate complex situations, balance competing priorities, and develop effective solutions.
• Excellent interpersonal, verbal, and written communication skills, with the ability to build relationships, influence stakeholders, and communicate effectively with senior leaders and external parties.
• Demonstrated ability to independently lead multiple complex projects, coordinate across diverse stakeholders, and deliver high-quality results within established timelines and policies.
• Experience leading enterprise or cross-functional initiatives and implementing improvements to content management, processes, policies, reporting, automation, or operations.
• Ability to identify opportunities to modernize and scale processes, improve service delivery, and enhance operational efficiency through continuous improvement and data-driven decision-making.
• Experience analyzing metrics, trends, risks, and feedback to support program enhancements, operational effectiveness, and positive business outcomes.

• Experience with CoPilot, Adobe PDF, and DocuSign.
• Experience with data analytics, reporting, or database tools.
• Knowledge of SIG questionnaires, SSAE 18 SOC reports, PCI DSS, internal controls, financial or banking regulations, information technology concepts, and operational or vendor risk assessments.
• Audit experience.