Compliance Officer Senior Manager

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.

We are seeking an initiative-taking and experienced Senior Manager to join our dynamic Central Compliance & Registration (CCR) team. This role will serve as a key leader in driving CCR's strategic initiatives, with a strong focus on process optimization, technology enhancement, and platform transformation.

CCR is responsible for providing advisory support, oversight, and monitoring of employee compliance requirements, including but not limited to:

• Registration and Licensing
• Electronic Communications
• Personal Trading Accounts and Employee Disclosures

Reporting Structure

• Reports directly to the Director, Head of Central Compliance & Registration
• Individual Contributor role

Key Responsibilities

• Serve as a strategic partner in advancing CCR's technology and process transformation initiatives.
• Function as the CCR Program Lead delegate for technology-related projects, representing business requirements and ensuring successful delivery of strategic objectives.
• Lead User Acceptance Testing (UAT), validation activities, post-implementation reviews, and defect resolution efforts for compliance technology enhancements.
• Partner closely with stakeholders across Compliance, Risk, Supervision, Technology, and Operations to drive adoption of technology solutions and ensure alignment with enterprise objectives.
• Maintain effective governance, controls, and documentation related to system changes impacting employee compliance, disclosures, registrations, monitoring, and certification processes.
• Identify opportunities to streamline workflows, improve operational efficiency, and enhance the employee compliance experience.
• Train Team on changes to systems, processes, and workflows

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.

Qualifications & Experience

• Deep understanding of FINRA, NFA, NMLS registration requirements and branch office regulations.
• Strong knowledge of the policies, regulatory obligations, and governance frameworks managed by CCR.
• Demonstrated experience leading complex business and technology initiatives in a regulated environment.
• Excellent communication, stakeholder management, and organizational skills, with the ability to influence across all levels of the organization.
• Proven ability to manage multiple priorities, drive results, and deliver sustainable process improvements.
• Ten plus years of Broker dealer experience

Preferred Attributes

• Analytical thinker with a continuous improvement mindset.
• Strong analytical and problem-solving capabilities.
• Experience working at the intersection of Compliance, Operations, and Technology.
• Ability to operate independently while effectively collaborating across diverse stakeholder groups.
• Experience rolling out Compliance Registration systems.

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