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Charles Schwab · 2 days ago

Senior Manager, Compliance

US-TX-Southlake

Full-time

Onsite

Senior Level

$125K/yr - $160K/yr

5+ years exp

Charles Schwab is a leading financial services company seeking a seasoned Compliance Professional to join their Employee Compliance Team. The role focuses on overseeing various compliance functions, particularly in Registration and regulatory requirements, while collaborating with multiple departments to ensure adherence to compliance policies and guidelines.

Financial Services

Responsibilities

Monitoring, flagging deficiencies, tracking and addressing violations, handling conduct escalations, and providing guidance to employees on policies

Providing guidance, identifying conflicts, flagging deficiencies, tracking and addressing violations, monitoring the completion of requirements, and providing MIS to 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

Qualification

FINRA Rules knowledgeSecurities industry experienceCompliance monitoringRegulatory environment understandingEffective 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