Simona Guiu
Senior Manager, Supervisory Risk and Controls at Charles Schwab | Atlanta, Georgia, United States
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Simona Guiu currently serves as the Senior Manager of Supervisory Risk and Controls at Charles Schwab, where she plays a pivotal role in strengthening the firm’s operational risk framework within the Investor Services division. In this capacity, Simona leads a dedicated team of three professionals, focusing on enhancing risk mitigation strategies, ensuring regulatory compliance, and refining control processes across diverse business units such as Branch Network operations, Investment Advisory services, and Wealth Management. Her expertise in enterprise risk management (ERM) and SOX 404 compliance enables her to develop robust control environments that safeguard client assets while supporting business growth.
Simona’s key projects often involve implementing comprehensive risk assessments, streamlining internal audit procedures, and integrating Six Sigma methodologies to optimize operational efficiency. Her deep understanding of SAP R/3, SAP BW, and other enterprise systems allows her to analyze complex data sets, identify control gaps, and recommend process improvements that reduce operational losses. She actively collaborates across departments to break down silos, fostering a culture of proactive risk management and continuous improvement. Her strategic approach ensures that Schwab’s supervisory controls not only meet regulatory standards but also align with the firm’s broader objectives of operational excellence and client trust.
With her extensive background in investment management, banking, and card payment industries, Simona Guiu brings a comprehensive perspective to her role—balancing risk and control to support sustainable business growth. Her leadership in operational risk management, combined with her skills in internal audit, business process analysis, and compliance, positions her as a key driver in safeguarding Schwab’s reputation and financial stability in a highly regulated environment.
Senior Manager, Supervisory Risk and Controls at Charles Schwab in April 2015 to Present
Senior Policy, Procedures & Operational Risk Specialist at Generation Mortgage Co. in May 2013 to December 2014
Operational Risk Manager at Worldpay US Inc. previously RBS Worldpay Inc in April 2010 to May 2013
SOX Officer at RBS Bank previously ABN AMRO Bank - Chicago, USA in September 2007 to April 2010
SOX Officer at LaSalle Bank in June 2006 to September 2007
Group SAP MIC/ SOX Coordinator at ABN AMRO Amsterdam in March 2005 to June 2006
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West University of Timisoara, Bachelor of Business Administration (B.B.A.), August 1999 to August 2026
Universität Trier, Bachelor of Business Administration (B.B.A.), August 2026
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Enterprise Risk Management
SOX 404
Six Sigma
SAP R/3
SAP BW
Banking
Sarbanes-Oxley Act
Analysis
Governance
Financial Risk
Internal Controls
SAP
Operational Risk
Operational Risk Management
Auditing
Business Process Improvement
Design & Implementation Of Internal Controls
Management
Internal Audit
Business Process
Risk Management
Financial Services
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Discover more about Charles SchwabWhat is Simona Guiu email address?
Email Simona Guiu at [email protected] and [email protected]. This email is the most updated Simona Guiu's email found in 2026.
How to contact Simona Guiu?
To contact Simona Guiu send an email to [email protected] or [email protected]. (updated on May 07, 2025)
What company does Simona Guiu work for?
Simona Guiu works for Charles Schwab
What is Simona Guiu's role at Charles Schwab?
Simona Guiu is Senior Manager, Supervisory Risk and Controls
What is Simona Guiu's Phone Number?
Simona Guiu's phone (404) ***-*142
What industry does Simona Guiu work in?
Simona Guiu works in the Banking industry.
Simona Guiu Email Addresses
Simona Guiu Phone Numbers
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