Charles Schwab · 1 day ago
Manager, Compliance - Data Analytics and Innovation
Southlake, TX, US
Full-time
Onsite
Mid Level
$92K/yr - $115K/yr
3+ years expCharles Schwab is a financial services company that empowers individuals to impact their careers. The role involves supporting the Corporate Compliance organization by designing AI/machine learning solutions for compliance testing and reporting, leveraging analytics tools to identify risks, and ensuring data governance and quality controls.
Financial Services
Responsibilities
Design and implement AI/machine learning solutions to automate compliance testing, reporting, and risk assessment, and streamline operational workflows (e.g., scheduling, records management, logistics)
Leverage advanced analytics tools (e.g., Tableau, Power BI) to identify trends, emerging risks, and improvement opportunities, generating actionable insights for decision-making
Develop and maintain comprehensive dashboards and reports from various sources to enhance the documentation, analysis, and overall reporting of compliance processes
Establish and enforce robust data governance and quality controls to ensure the accuracy, security, and integrity of compliance data, adhering to Firm and regulatory standards
Deploy proactive monitoring systems and real-time alerts to identify and mitigate emerging risks effectively
Maintain current knowledge of SRO rules (FINRA, SEC, NFA), federal, and state regulations, alongside industry trends, competitor activities, and regulatory developments in digital assets
Provide support to Director(s) and fulfill additional assigned duties and special projects as required
Qualification
Required
Bachelor's degree required
Minimum of 3-5 years of experience in compliance and/or risk management
Knowledge of data governance principles, data quality frameworks, and compliance
Demonstrated strong analytical abilities, a proactive approach to assignments, and proven problem-solving skills, adept at business intelligence and data transformation
Proficient in analytics tools, including MS Excel, PowerPoint, and data visualization platforms such as PowerBI, Tableau, and SharePoint
Excellent written and verbal communication skills, with the ability to tailor messages for diverse audiences
Strong collaboration and influencing skills with a track record of working cross-functionally and driving alignment
Exceptional attention to detail, sense of urgency, and capacity to thrive in a dynamic, fast-paced environment
Demonstrated passion for continuous learning and intellectual curiosity regarding emerging technologies and financial innovation
Company
Charles Schwab
We have plans for every turn you take.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
J
Jim McGreevy
Senior Project Manager
Recent News
2025-10-04
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