Senior Specialist, 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. 

The Registration Department services Charles Schwab & Co., Inc., Schwab Bank and other Charles Schwab Corporation affiliates. The Registration Department is responsible for facilitating, obtaining and maintaining the securities, investment advisory and other licenses and registrations for the Firm, its employees and branch offices.

In this role you will:

• Manager Broker Dealer, Bank and Futures (FINRA, NFA, NMLS) Registration filings for new hires
• Review and update background information required for Securities, NFA and MLO Registration filings
• Monitor and act on events that will require additional registrations and/or updates to regulatory filings
• Monitor and act on identified registration deficiencies, in partnership with senior Employee Compliance Team members, Business Partners and Compliance SMEs
• Monitor and act on Group email boxes
• Participate in any Employee Compliance Tasks all hands-on projects as needed
• Work with IT partners to identify opportunities for process and workflow improvements and UATS
• Role will require excellent communication skills and partnering with colleagues in Security, Background Investigations, Talent Acquisition, Business Partners, and Compliance SMEs

What you have

To ensure that we have fulfilled our promise of "challenging the status quo," this role has specific qualifications that successful candidates should have.

Required Qualifications

• 2+ years’ experience in the brokerage or financial services industry; Compliance or registration experience is preferred

Preferred Qualifications

• Bachelor's degree preferred, or equivalent experience
• Knowledge of licensing and registration rules, interpretative guidance and regulatory expectations
• Knowledge of FINRA Web CRD and other financial industry registration systems
• Strong organizational, planning and time management skills with shown ability to meet critical, regulator-imposed target dates; shown ability to multi-task
• Advanced interpersonal and communication skills required with demonstrated ability to interact with all levels of firm management
• Strong analytical and problem-solving skills; ability to exercise sound judgment
• Ability to apply critical thinking to identify and analyze red flags with respect to registration and reportable disclosures
• Excellent oral and written communication skills