Senior Manager, Communications Compliance

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Job ID:
20161207-4143
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Financial Services-6+ yrs, Communications-6+ yrs, Regulatory, Compliance
Current Licenses / Certifications:
FINRA Series 24, FINRA Series 7
Position Located In:
TX - Austin, IL - Chicago, CO - Lone Tree
Education:
BA/BS
Job Type:
Full Time

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

We provide guidance to help our Business Partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the Firm.  Our advice and guidance focuses on the applicability of rules and regulations; review of communications with the public, typically intended for external clients and prospective clients; and input on internal policies, procedures and controls.  The Sr. Manager is responsible for the analysis of complex issues and providing timely compliance perspectives to marketing and business enterprises creating retail and institutional communications promoting products and services offered by The Charles Schwab Corporation or any of its broker-dealer or investment advisor subsidiaries.

What you’ll do:

  • Review retail and institutional communications and provide relevant and actionable advice to effect compliance with regulatory and firm standards.  Participate early and often in the processes for proposed and forthcoming marketing and large project initiatives.
  • Collaborate frequently and candidly with subject matter experts within the Compliance and Legal Departments.
  • Proactively advise business partners on new regulations and provide guidance on implementation strategies within communications.
  • Continuously evaluate both business and compliance processes and procedures to drive effectiveness and efficiencies. 
  • Additional projects and tasks based on business and department needs

What you have:

  • BA/BS degree or equivalent experience and ten plus years of experience in the financial services industry.
  • Strong working knowledge of FINRA and SEC rules applicable to communications with the public. 
  • Product experience including mutual funds, money market funds, and ETFs preferred. 
  • Experience with or understanding of investment advisory services and GIPS understanding, a plus.
  • Willingness to work in a highly collaborative environment.       
  • Strong oral and written communication, time management and organizational skills. 
  • Ability to work independently in a fast paced, high pressure environment. 
  • FINRA Series 7 and 24 (or 9/10 and 23) required.  Series 66, a plus.

What you’ll get:

  • Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
  • Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
  • Not just a job, but a career, with an opportunity to do the best work of your life

 


Learn more about Life@Schwab.


Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law.


Position Located In:TX - Austin, IL - Chicago, CO - Lone Tree
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Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.

At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab’s hiring decisions. All other submissions should be performed online.

The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC , offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products.