Director – Trade Surveillance, Sales Practice Monitoring and CS&Co Broker-Dealer Program

Your Opportunity

Schwab remains committed to providing increased visibility to career growth opportunities and job requirements. This posting announcement is part of increased transparency and while all qualified applicants will be reviewed and considered, this organization has a preferred candidate identified for this role.

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.

In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the firm.  The Compliance Department advises on applicable federal and state rules and regulations, supervisory systems, and policies and procedures; liaises with regulators; provides guidance on communications with the public; conducts surveillance and investigations to monitor for compliance with firm policies and procedures; processes and maintains firm and employee registrations; and, performs a variety of other compliance functions.

In this people leader role, you will oversee Compliance teams responsible for trade surveillance, sales practice monitoring, and the CS&Co broker-dealer program. These functions are critical to identifying and escalating activity that may affect client trust, market integrity, regulatory obligations, and the strength of Schwab’s broker-dealer control environment.

This role requires strong people leadership, practical judgment,and the ability to translate monitoring and surveillance insights into clear compliance themes, supervisory enhancements, issue management, and regulatory readiness. You will work closely with Supervision, Legal, Risk, Operations, Technology, business leaders, and senior Compliance stakeholders to strengthen program execution and drive consistent, risk-based outcomes.

Primary Responsibilities:

• Lead Compliance teams responsible for trade surveillance, sales practice monitoring, and CS&Co broker-dealer program governance
• Oversee monitoring and surveillance routines that identify potential sales practice, trading, supervision, client impact, conflicts, and policy concerns
• Drive disciplined escalation, documentation, investigation support, issue management, and remediation follow-through
• Strengthen the CS&Co broker-dealer program through clear governance, regulatory alignment, control mapping, reporting, and evidence of program effectiveness
• Use monitoring insights to inform supervisory routines, training, policy enhancements, risk mitigation, and control improvements
• Assess regulatory, business, and industry developments affecting trading, sales practices, supervision, communications, complex products, conflicts, and broker-dealer obligations
• Advance surveillance design, alert logic, monitoring procedures, quality assurance, metrics, reporting, and technology-enabled controls
• Support regulatory exams, audits, risk assessments, governance reporting, and senior leader briefings related to surveillance, monitoring, and broker-dealer program effectiveness

People Leadership Expectations:

• Set clear priorities, operating expectations, and accountability for teams responsible for high-volume monitoring, surveillance, and broker-dealer program work
• Develop managers and senior professionals by strengthening regulatory depth, analytical judgment, investigative discipline, business fluency, and communication skills
• Promote consistent decision-making, escalation discipline, quality standards, and practical problem solving across complex and sensitive matters
• Foster a collaborative, inclusive culture focused on sound judgment, strong controls, continuous improvement, and constructive challenge
• Communicate priorities, capacity, trends, risks, and resource needs clearly to senior Compliance and business stakeholders

What you have

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

Relevant Education and Work Experience

• 12+ years of financial services experience, preferably in compliance, supervision, surveillance, sales practice monitoring, regulatory affairs, risk, legal, audit, or broker-dealer program roles
• People leadership experience, including leading managers or senior professionals, setting priorities, developing talent, and driving accountability
• Strong understanding of SEC and FINRA requirements applicable to broker-dealers, supervision, sales practices, trading, communications, conflicts, disclosures, Reg BI, suitability, and recordkeeping
• Experience with monitoring or surveillance programs, including alert review, escalation protocols, issue management, quality assurance, metrics, and program reporting
• Ability to connect surveillance and monitoring results to business practices, supervisory routines, control design, regulatory expectations, and client impact
• Experience supporting regulatory exams, internal audits, risk assessments, governance routines, or broker-dealer compliance program reviews

Skills

• Strong judgment and ability to analyze complex fact patterns, identify themes, and recommend practical actions
• Ability to lead through ambiguity, manage competing priorities, and maintain focus on quality, consistency, and timely escalation
• Strong partnership skills and ability to build trust across Compliance, Supervision, Legal, Risk, Operations, Technology, and business teams
• Analytical mindset with comfort using data, metrics, trends, and reporting to assess program effectiveness and inform priorities
• Clear written and verbal communication skills, including governance reporting, escalation summaries, executive briefings, and practical guidance
• High integrity, curiosity, accountability, and commitment to client trust, market integrity, and effective broker-dealer governance

Preferred Qualifications:

• Bachelor’s degree required; advanced degree, legal education, or relevant professional credentials preferred
• FINRA Series 7, 24, 63, and 65 or 66 licenses a plus
• Experience with trade surveillance platforms, sales practice monitoring programs, broker-dealer annual reviews, regulatory exams, data analytics, or technology-enabled monitoring preferred

In addition to the salary range, this role is also eligible for bonus or incentive opportunities