Director, Broker Dealer Compliance - Program Lead

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.

In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices building client trust and safeguard the integrity of the Firm.

Reporting to the Managing Director, Chief Compliance Officer, the Director will be a key team member responsible for administering, enhancing, and maintaining the Compliance Program for the Charles Schwab & Co Broker-Dealer, also known as CS&Co. CS&Co stands as one of the largest broker-dealers in the country and as such this role will coordinate content and effort with a broad spectrum of associated Compliance programs and partners supporting all registered elements of Schwab. This will then involve on-going communications, project management, and reporting obligations, as well as all other tasks that support the CCO in leading the broker-dealer landscape. There will be particular focus on the regulatory obligations of FINRA 3120 & 3130, as an aspect of their enterprise-wide view of compliance risks.

Key Outcomes

• Coordination and project management of initiatives in support of the broker-dealer program
• Development and facilitation of communication forums and mechanisms in support of the broker-dealer compliance program
• Owner and author of requisite reporting and presentations, for delivery to Executive and Senior Leadership, to include the President
• Stewardship for the key deliverables and regulatory obligations of the CS&Co broker-dealer compliance program
• Ownership for the broker-dealer inventory of designated supervisory principals
• Ownership for the processes, tools, and infrastructure which support the program
• Developing and executing training and communications strategies to support Compliance colleagues in those tasks required for the program
• Identifying and pursuing on-going refinement and evolution of supporting processes and training
• On-going assessment of control inputs, both internal and external, to ensure they are adequately addressed and captured
• Collaborating and coordinating with peers across Schwab Compliance, other Corporate Risk Management colleagues, internal audit, and first line of defense business partners
• Carrying out other duties as assigned, including project work, based on business needs and potential coverage gaps

What you have

Required Qualifications:

• 7-10 years industry experience, with a minimum of 5 years in a Compliance or Risk role.
• Strong regulatory knowledge of broker-dealer standards.
• Demonstrated success in project management, with a focus on driving both collaboration and accountability while establishing firm expectations of delivery.

Preferred Qualifications:

• Series 7 and 24 licenses.
• Exceptional attention to detail and proven ability to manage multiple initiatives simultaneously.
• Outstanding communication skills, both written and verbal, with a demonstrated ability to deliver communications that are clear, concise, and impactful in addressing their intended purpose
• Strong executive presence and excellent interpersonal, relationship building, and change management skills.
• Strategic thinker who can anticipate the implications and consequences of situations and take appropriate action to be prepared for possible contingencies.
• Ability to think creatively to adapt to the changing nature of the business units supported and the information required for the role, adapting as circumstances demand.
• Provides a clear, independent risk management perspective in accordance with the Board-approved risk appetite.