Sr 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.

Our Employee Compliance Team is engaged in a variety of Compliance functions such as Registration, Employee Trading, Electronic Communications, Monitoring and Reporting, Compliance Certifications and Disclosures, and Personal Account Disclosures.  As we aim to transform the direction of our current Employee Compliance Program, we recognize the need to shift more responsibility onto the Compliance team.  This includes providing guidance, identifying conflicts, flagging deficiencies, tracking and addressing violations, monitoring the completion of requirements, and providing MIS to our Compliance, Risk, and Business partners. 

We are seeking a seasoned Compliance Professional, who will play a vital role in all areas of Employee Compliance, with a particular focus on Registration and Associate Persons’ regulatory requirements.  The successful candidates will collaborate closely with Employee Compliance team members, as well as partners of the Business, Human Resources, Legal, Risk, and Supervision.  They will be tasked with monitoring, flagging deficiencies, tracking and addressing violations, handling conduct escalations, and providing guidance to employees at levels on the policies our group covers including: Registration and Licensing, Personal Account and Disclosures, Electronic Communications, Gifts and Entertainment and Charitable sponsorships.  The ideal candidate should possess extensive knowledge of FINRA Rules 1210, 1220 and 3110.

What you have

• A Bachelor’s Degree is preferred
• 5 – 10 years of professional experience in the financial services industry, including direct experience in Securities, Futures, MLO Registration (FINRA, NFA, NMLS).
• A deep understanding of the regulatory environment, knowledge of securities industry rules and regulations, and comprehensive knowledge of qualification requirements.
• Ability to perform daily supervisory reviews of Employee Compliance processes and activities.
• Ability to identify and track deficiencies.
• Ability to both identify need for Process/Systems improvements and be able to communicate requirements to IT partners.
• The ability to develop an understanding of each Schwab business and determine qualification requirements.
• Effective communication skills, both verbal and written, with an ability to articulate compliance requirements.
• The ability to identify deficiencies and create monitoring reports.