Manager, Compliance

Your opportunity

At Schwab, you are 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.

We are looking for a Compliance Officer to join our dynamic Employee Compliance Team. The Employee Compliance Team covers Registration, Employee Monitoring and Reporting, Compliance Certifications, Personal Activity Disclosures, Personal Account Disclosures, Employee Conflicts Reviews, and Electronic Communications.

This position is an individual contributor role reporting directly to a Senior Manager in Compliance. This individual will play a key role in monitoring employees’ adherence to Compliance policies/standards including the Personal Activities and Disclosures Standards and Electronic Communications Standards. The position requires a deep understanding of FINRA rules 1010, 3270, 3280, and 3110(e), and the individual must be able to spot potential conflicts of interest and address accordingly.

The role will include daily reviews and actioning of personal disclosures including making escalation decisions, determining reportability, making requisite filings, monitoring completion of requirements, addressing policy violations and reporting of same. The individual in this position must have the judgment and ability to collaborate with employees, Regulators, Legal, HR, Business and Conduct Risk Management partners on sensitive matters.

What you have

Preferred Qualifications

• Bachelor’s Degree

• 5-10 years’ professional experience in the financial services industry with Compliance, Licensing & Registration, or Supervisory experience

• SIE & S7TO Securities Licenses

• Prior experience using regulatory systems such as FINRA Gateway, WebCRD, IARD, ORS, and NMLS

• Deep understanding of regulatory environments and working knowledge of securities industry rules and regulations

• Experience filing Form U4 disclosure amendments and understanding of Form U4 disclosure requirements

• Knowledge in Personal Securities Accounts and Private Securities.

• Advanced Microsoft Excel Skills

• Experience with Tableau, and other database management tools such as Microsoft SQL Server

• Effective communication skills both verbal and written with an ability to articulate compliance requirements

• Detail oriented with the ability to manage multiple tasks at any one time

• Commitment to integrity and high ethical standards.