Senior Specialist, Compliance – Regulatory Liaison Office

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 Westlake, TX.

The Regulatory Liaison Office’s (RLO) mission is to drive an informed, efficient, and effective regulatory engagement program by serving as a central point of contact for all regulatory risk matters. The RLO’s vision is to be a trusted liaison with Schwab business partners and with our regulators by encouraging clarity, communication and credibility to support Schwab’s businesses as they help our clients Own Their Tomorrow.

Within the Regulatory Liaison Office, our Functional Regulatory (RLO-FR) team leads, guides, and helps shape the company’s regulatory interactions. RLO-FR is primarily responsible for Schwab’s engagement with its securities regulators, including the SEC, FINRA, CFTC, NFA, and international and state securities regulators, on regulatory inquiries and examinations.

The Senior Specialist, Compliance will play a key role in partnering with RLO-FR team members on inquiry support, including overseeing the intake, assignment, and recordkeeping processes; serve as primary centralized operations support; assist with exam coordination and administration; and engage in other special projects within RLO-FR. 

In this role, you’ll have the opportunity to:

• Manage the oversight of the intake, assignment, and recordkeeping process for regulatory inquiries and support regulatory examinations, as needed.
• Assist with RLO-FR’s exam coordination and administration process, including exam request and response tracking, meeting coordination, and submissions support.
• Support RLO-FR Directors with frequent special projects. 
• Help with onboarding and systems access requests for new RLO-FR team members.
• Take part in functional improvement projects for RLO-FR inquiry and examination tracking and data retention systems.
• Collaborate extensively with peers in Legal, Compliance, and other business functions.

What you have

Required Qualifications

• College degree or equivalent work experience.
• Recent experience interacting directly with regulators in the financial services industry,

Preferred Qualifications

• Strong analytical and organizational skills and excellent attention to detail.
• Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization.
• Excellent problem-solving skills and an intellectual curiosity and desire to “figure things out.”
• Ability to interpret regulations and regulatory guidance and apply them to real world business scenarios.
• Proficiency in Microsoft Office programs (Word, PowerPoint, Excel, SharePoint).