Manager, Compliance

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 location(s).

In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices, building client trust and safeguarding the integrity of the Firm.

The Compliance Manager will be a member of the Disclosure, Communications and Digital Compliance team responsible for driving program efficiencies across our teams’ functions and across Banking Trust Services and Enterprise Compliance to continue to meet regulatory requirements. This position requires effective communication and strong collaboration across functional areas supported, ability to guide cross-functional processes, develop initiatives to gain efficiencies, conduct monitoring, and ability to oversee and challenge issues as they arise.

In this role, you will:

• Foster an inclusive and collaborative environment that promotes open communication and continuous improvement.
• Provide guidance to resolve complex issues related and timely remediation, including and not limited to disclosures, communications, and digital.
• Implement process improvements to reduce administrative burden across the organization.
• Organize, maintain, and manage continuous monitoring and records.
• Ensure continued regulatory compliance as products and services change and evolve.
• Collaborate on Risk Assessment, training, and testing Plans.
• Enhance monitoring plans in high-risk programs, services, and practices.
• Lead and coordinate compliance-related projects, ensuring timely and effective execution of regulatory change management, policy updates, and process enhancements as needed.
• Prepare comprehensive reports on compliance activities, findings, and remediation plans as needed.
• Create, update, and maintain departmental procedures, policies, and processes.

What you have

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

Required Qualifications:

• 3–5 years of compliance, risk, or related financial services experience.
• Knowledge of financial regulations and standards, including disclosures, public communications, social media, and digital platforms.
• Experience with issue resolution, monitoring, and reporting.

Preferred Qualifications: 

• Highly motivated, curious, self-directed, and detail oriented.
• Strong written and verbal communication skills with clear, concise delivery.
• Adaptable and creative in responding to evolving business needs.
• Ability to interpret regulations and apply them to business scenarios.
• Strong technical skills, including Excel, PowerPoint, AI tools, and MyGRC.
• Ability to manage multiple priorities and deliver high-quality work in a fast-paced environment.
• Ability to assess issues quickly and develop practical, business-focused solutions.
• Series 7 preferred.

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