Senior 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.

Your Opportunity

Schwab Compliance is seeking a Senior Manager to provide regulatory support and guidance to the Retail Branch Network. The Senior Manager will be an individual contributor aligned primarily to company-managed branches.  They will support issues related to sales practice, client interactions, representative behaviors and processes, product-specific requirements and limitations, proposed business strategies, supervision obligations, regulatory changes, and risk management.

What you are good at

This individual will:

• Build and maintain working relationships with assigned business leaders as well as partners in First Line Risk, Compliance, Legal, and other areas of Corporate Risk Management
• Provide compliance support, guidance, and advice to assigned business groups
• Actively monitor, interpret, communicate, and apply new and existing regulations to the work of assigned business groups
• Provide direct and actionable feedback to business partners to aid them in decision making and process design, in some instances taking the from of appropriate and diplomatic challenges to proposed strategies
• Advise business partners on Compliance risk in their Risk and Controls Self-Assessment (RCSA)
• Participate in projects that support the broader efforts of Retail Compliance
• Closely collaborate and partner with Retail Compliance peers to ensure adequate support of business partners
• Represent and work to advance peers and colleagues within the Retail Compliance organization, the broader Schwab Compliance organization, and CS&Co.
• Execute other duties as assigned

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 Qualifications

• At least 7 years’ industry experience, preferably in a retail broker-dealer setting, and with significant compliance, control, or risk management exposure
• Bachelor’s degree or equivalent work experience
• Strong interpersonal, influencing, and facilitation skills
• Excellent time management and self-management skills
• Strong oral, visual, and written communications skills
• Demonstrated experience prioritizing multiple projects based on regulatory risk and business needs
• Series 7, 63, and 24 or 9/10 preferred
• Proficiency in Microsoft Office Programs (Word, PowerPoint, Excel)

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