Senior Compliance Manager - Enterprise Programs

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.

We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location.

In Compliance, we help our Business Partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the Firm. We accomplish this through providing advice and guidance on applicable federal and state rules and regulations, supervisory systems, and policies and procedures; monitoring for compliance with regulatory requirements and Company policies and procedures; and monitoring and advising on changes to rules, regulations and the regulatory environment.

Our Fiduciary, Conflicts of Interest, Non-Product, and Enterprise Compliance team is looking for a Senior Manager to support our various Enterprise-wide Compliance Programs. Our team collaborates with and provides Compliance advice, guidance and effective challenge to first and second-line colleagues across the Company in areas including but not limited to Investor Services, Wealth & Advice Solutions, Charles Schwab Investment Management, Retirement Plan Services, Banking and Trust Services, and Enterprise Operational Risk Management, to ensure alignment with regulatory requirements and evolve our programs.

• Provide compliance advice and guidance, consistent with Corporate Compliance Standards, on Enterprise-wide Compliance Program activities, including policies, procedures, and controls related to Fiduciary and Conflicts of Interest.
• Support the Compliance Risk Assessment and new product review processes to ensure comprehensive assessment of Conflicts of Interest and Fiduciary Compliance risks impacting the Company.
• Provide ongoing oversight and monitoring of first line activities, related reporting, and operational data to identify risks that may exceed the Company’s established Compliance risk appetite.
• Identify, escalate, and track emerging Compliance risks and relevant industry developments.
• Craft/coordinate periodic risk reporting of Enterprise-wide Compliance Programs, prepare comprehensive presentations and other materials for senior management and oversight committees and/or other reporting as needed.
• Build collaborative relationships and maintain key contact points with Compliance Subject Matter Experts and Business Partners to drive continuous process improvement and ensure timely, well supported responses to related inquiries.
• Collaborate with Compliance teams to support various initiatives, including the creation of new, and evolution of existing, Enterprise-wide Compliance Programs.

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

• Bachelor’s Degree, or equivalent experience.
• Minimum 5 years’ experience in the Compliance or Risk fields in the financial services industry, preferably with a broker-dealer or investment advisory firm.
• Strong knowledge of Fiduciary and Conflicts of Interest principles, risk and control frameworks, and compliance program management.
• Demonstrated analytical abilities, forward/strategic thinking, a proactive approach to assignments, and proven problem-solving skills.
• Strong communication, risk articulation, risk aggregation, collaboration and influencing skills with a track record of working cross-functionally and driving alignment.
• Ability to work independently, and within a geographically dispersed team.
• Exceptional attention to detail, thoroughness, sense of urgency, flexibility, and capacity to thrive in a dynamic, fast-paced environment.
• Proficiency with tools such as MS Excel, Outlook, PowerPoint, and SharePoint.

You demonstrate these behaviors:

• Forward/strategic thinking
• Thoroughness
• Adaptability
• Flexibility
• Building collaborative relationships
• Technical expertise

In addition to the salary range, this role is also eligible for bonus or incentive opportunities.