Senior Manager, 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.

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.

The Senior Manager will join an engaging and dynamic Employee Compliance Team.This role will be responsible for supporting the execution of key components of the Employee Compliance Program including Schwab securities trading, Schwab Investment Advisers Codes of Ethics, Gifts and Entertainment and Political Contributions. This role is an individual contributor role reporting to the Director, Compliance. 

Day-to-Day Responsibilities will include:

• Evaluating and analyzing employee preclearance requests, trading and disclosure activities and surveillance results for possible violation of law, regulation, firm policies or for other irregularities.
• Reporting monitoring and surveillance results to various governance forums.
• Remaining current on regulatory developments and enterprise-wide policies and procedures needed to conduct monitoring and surveillance effectively.
• Identifying opportunities to enhance and create efficiencies in monitoring and surveillance and support the execution and delivery of key initiatives.
• Developing and cultivating strong partnerships across Compliance, Legal, Corporate Risk Management, and business partners.

What you have

• 6-8+ years of compliance, legal and/or regulatory experience in monitoring and surveillance.
• Embraces an enterprise view in identifying, assessing, mitigating, measuring, and monitoring Compliance risks consistent with the Enterprise Risk Management Framework.
• Strong understanding and experience with implementing frameworks related to employee trading requirements (i.e. Trade Windows), Investment Adviser Codes of Ethics (i.e. preclearance and reporting) and mitigating material non-public information risks.
• Superior communication skills, both written and verbal, including the ability to develop concise and effective communications tailored to specific audiences.
• Ability to work independently and within a geographically dispersed team.

• BS/BA degree or equivalent work experience.