Senior Manager, Compliance Risk Testing – Branch - Broker Dealer

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 that build client trust and safeguard the integrity of the firm.  We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join the team, as a Senior Manager, responsible for conducting retail and independent branch office compliance testing. The Senior Manager is an individual contributor and will conduct testing to evaluate the effectiveness and adequacy of certain internal controls, policies, procedures, and systems designed to achieve and/or monitor compliance with applicable regulatory requirements.

The Senior Manager is expected to make recommendations to enhance and refine the testing program and will remain current on regulatory developments, enterprise-wide policies and procedures, as well as develop and foster strong partnerships across Compliance, Legal, Corporate Risk Management, and with business partners.

What you have

Required Qualifications:

• Minimum of 8 years of experience within financial services
• 3-5 years of experience in a Regulatory Testing/Examiner/Audit role  
• Understanding of FRB, SEC, FINRA, OCC, NFA, Privacy and Anti-Money Laundering rules and regulations
• Travel: Must be able to travel 20% - 25% during the course of the year (roughly one week a month)

Preferred Qualifications:

• Bachelor’s degree or equivalent experience
• Understanding and experience with Microsoft suite of applications (Word, Excel, PowerPoint)
• Professional licensing and/or compliance certifications (e.g., FINRA Series 7, 66, Investment Adviser Representative, CRCP and CAMS)
• General understanding of financial holding company, bank, broker-dealer, and investment advisory businesses, as well as testing standards/methodologies
• Familiarity with the execution of Second Line of Defense compliance testing including compliance risk management principles
• Excellent attention to detail
• The ability to work independently, take ownership, be accountable
• Strong written and verbal communication skills
• Sound organization and prioritization skills
• Results oriented