Sr. Manager, Compliance

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. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location(s).

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.TheComplianceComplaints Risk Management team(CCRM)is responsible forthe firmwide Complaints Risk Management Program including oversight for all activities that relate to client complaints, the establishment ofclientcomplaint standards, procedures,monitoringand oversight of first line controls and corrective actions. CCRM is currentlyseekinga dynamic and engaging professional to join our team as an individual contributor Senior Manager who will have primary responsibility for managing the Enterprise Complaint Monitoring Program. 

The Senior Manager, Compliance – Enterprise Complaint Monitoringis responsible forthe design, execution, and oversight of theenterprisewidecomplaint monitoring program. This role serves as a key second line of defense leader, providing independent oversight, effectivechallenge, and actionable risk insights related to client complaints across the firm. The position leads enterprise complaint analysis, risk identification integration, automation initiatives, and governance reporting to senior management and risk forums.

What you are good at:

• Administration of theenterprisewidecomplaint monitoring proceduresand Compliance SME complaint monitoring procedureto ensure consistency, regulatory alignment, andstandardsadherence.  

• ManagingcomplaintrelatedRisk and ControlSelf-Assessment(RCSA) and Compliance Risk Assessment (CRA) categorization, includingmethodology, data integrity, and documentation. 

• Producingenterprise complainttrendmetrics and dashboards, ensuring accuracy and riskidentification andrelevance.

• Providingoversight andeffectivechallengeto1LOD’sadherencewithcomplaint monitoring requirements. 

• Facilitating theCompliance SME complaint monitoringprocesses, including report generation by coverage area,ComplianceSME training onmonitoring forrisks, and quality review ofCompliance SMEmonitoring results and workpapers.

• Leadingautomation efforts for complaint identification, tagging, and analysis in partnership with data science and data analytics technology teams.Automate complaint analytics and embed outputs in Tableau to visualize trends, surface emerging risks, and support targeted reviews and governance reporting.

• Develop and deliver quarterly BTS complaint monitoring and quarterly Complaints Risk Management reports, including monitoring (Bank and Enterprise) results and executive summaries. 

• Articulate clear risk narratives for leadership and enterprise stakeholders, and present results at quarterly Compliance Complaints Working Group meetings.

What you have

Required Qualifications:

• A minimum of 4 years of financial industry experience (bank and/or brokerage preferred) and regulatory, compliance, risk management experience.

• Workingexpertiseof consumer protection and consumer financial services laws and regulations including but not limited to the Equal Credit Opportunity Act (Regulation B), Unfair Deceptive and Abusive Acts or Practices (UDAAP), Electronic Funds Transfer Act (Regulation E)and privacy.

• Working knowledge and understanding of FINRA and SEC rules and guidance, particularly related to complaints and the product and problem codes used toidentifypotential compliance issues coming from complaints. 

• Strong verbal and written communication skills, with the ability to communicate and workwithall employee levels, including senior management.

• Ability to handle multiple conflicting priorities in a fast-paced environment.

• Curious and innovative with proven ability to independentlyidentifyopportunities for improvement and execute enhancements.

• BA/BS preferred or equivalent experience.

• Strong analytical abilities. 

Preferred Qualifications:

• Proficient in the use of Microsoft Office includingWord and PowerPointand SharePoint. Advanced Microsoft Excel skills preferred.

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