Operational Control Sr Manager

Your Opportunity

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 locations.

Operational Services Control serves as a key liaison to Operational Services and Client Business Partners. Our mission is to protect client and firm assets and information through strong collaboration across business and technology teams. The Segregation Team is responsible for monitoring operational activity to support compliance with SEC Rule 15c3-3, the Customer Protection Rule—Reserves and Custody of Securities. The team partners closely with operational groups, regulatory agencies, and internal and external auditors to support ongoing segregation reviews and strengthen the firm’s control environment.

• Partner with SEG team members to execute daily, monthly, and quarterly control reviews
• Perform oversight on daily, monthly and quarterly reviews.
• Collaborate with Operations Groups to identify, analyze, and resolve potential segregation issues
• Lead and participate in discussions with business partners to evaluate procedural or system enhancements that mitigate risks identified through control reviews
• Serve as a subject matter expert for technology partners supporting system enhancements and control improvements related to SEA Rule 15c3-3
• Conduct system testing for applications, reports, and related control processes
• Support the development of business requirements, test cases, and implementation of readiness activities
• Create, maintain, and enhance procedures to reflect regulatory requirements, business practices, and control expectations
• Participate and support in both internal and external audits/exams
• Work on various operational/SEG/Internal Accounts related projects within the Department as needed
• Take active role in business initiatives and execution by developing and communicating content across broad areas of business units
• Serve as the subject matter expert for Long/Short trading, including monitoring rule compliance, assessing operational impact, and analyzing activity volumes to support effective oversight and risk management

What you have

Required Qualifications

• 5+ years of experience of directly working with SEA Rule 15c3-3 in a broker operations capacity
• 7 + years of experience in the financial services industry required 

Preferred Qualifications

• Series 7 and Series 63 licenses preferred
• Settlement Operations experience preferred
• Experience participating in or coordinating internal, external, or regulatory audits
• Exceptional written and verbal communication skills, with the ability to engage effectively across all levels of the organization, including regulators and auditors
• Strong influencing skills and the ability to drive alignment across business and technology partners
• Strategically think beyond day-to-day operations and analyze a variety of factors and metrics when making global decisions for the department
• Ability to manage competing priorities, multiple requests, and concurrent initiatives while meeting deadlines
• Knowledge of Schwab systems, procedures, and operational control processes preferred

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