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Charles Schwab · 10 hours ago

Sr Manager - Compliance

US-TX-Austin

Full-time

Onsite

Senior Level

$125K/yr - $160K/yr

5+ years exp

Charles Schwab is a company focused on empowering employees to make impactful contributions. They are seeking a seasoned Compliance Professional to play a vital role in Employee Compliance, particularly in Registration and regulatory requirements.

Financial Services

Responsibilities

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

Collaborating closely with Employee Compliance team members, as well as partners of the Business, Human Resources, Legal, Risk, and Supervision

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

Qualification

FINRA Rules knowledgeSecurities industry experienceCompliance monitoringRegulatory environment understandingProcess improvement communicationDeficiency trackingEffective communication

Required

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