Senior Manager, Central Compliance and Registration Team (CCR)

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.

In this pivotal role, you will lead the Registration Services Team, with a mandate to transform and elevate the Registration Program. This means driving the team to proactively guide and support our partners in the Business, Compliance, HR, Risk and Legal, by offering expert advice, tracking, and monitoring the completion of outstanding compliance requirements. You will also play a key role in delivering meaningful MIS reporting to our partners.

The Registration Services Team is responsible for the processing of regulatory filings (FINRA Forms U4, U5, and BR, NFA Form 8R and NMLS Form MU4R). This role will also include oversight of the FINRA Regulatory Element and IAR Continuing Education Programs and the identification and association of Associated Persons (employees and certain contractors). Your team will leverage regulatory platforms such as FINRA Gateway, WebCRD, IARD, NFA ORS, and NMLS. This role will collaborate closely with partners in IT in connection with our internal Compliance platform.

The ideal candidate is a seasoned Compliance Professional with strong leadership skills, exceptional analytical skills, and a thorough understanding of regulatory requirements and systems. Your ability to communicate effectively, collaborate with partners and motivate the team will be critical to your success.

RESPONSIBILITIES

• Identify registration requirements for individuals and locations and train the Registration Team on same
• Oversee the processing of regulatory form filings.
• Oversee the development and distribution of reports to the business that flag outstanding requirements and identified deficiencies.
• Assist in preparing reports for external regulatory exams and internal exams and audit requests.
• Participation in industry meetings and calls with peers and regulators is also a significant part of this role, ensuring we remain ahead of changing requirements and understanding the potential impact on our firm.

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.

Required Skills

• BA/BS degree preferred
• 10 years of professional experience in a broker-dealer business, preferably in Compliance roles.
• A solid working knowledge of securities industry rules and regulations, especially FINRA Rules 3110 and 1210, 1220,1240, State/SEC Broker Dealer/ IA rules and ability to interpret and apply rules practically.
• Strong judgment and analytical abilities
• Proficiency in all Microsoft applications, Excel, PowerPoint, Tableau, and database tools like Microsoft SQL Server.

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