Sr. Manager - Compliance

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Job ID:
20161215-4261
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Legal-2-5 yrs, Financial Services-2-5 yrs, Regulatory, Banking-2-5 yrs, Compliance
Current Licenses / Certifications:
FINRA Series 7
Position Located In:
TX - Austin, IL - Chicago, AZ - Phoenix, FL - Orlando, CO - Lone Tree
Education:
HS/GED
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: 

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 regarding the applicability of rules and regulations; advice on policies, procedures and controls; reviewing advertising and other communications with the public. Within our Compliance Department, our Retail Testing & Monitoring team focuses on defining and measuring the risk of regulatory sanctions, fines, or penalties or reputational damages resulting from the failure to comply with laws, regulations, rules or other regulatory requirements.

What you’ll do: 

This is an individual contributor role reporting to a Managing Director on the Retail Compliance Risk Testing Team.

The Retail Compliance Risk Testing Team is looking for a Senior Compliance Manager to conduct testing of key functions and processes identified via multiple broker-dealer and investment advisor risk assessments. The Senior Compliance Manager is expected to make recommendations to enhance and refine the Retail Compliance Risk Testing program. They will also be responsible for partnering on exams with other Compliance testing programs and contributing to the success of the broader Compliance Department. The Senior Compliance Manager will be responsible for executing all aspects of the testing program to fulfill the annual testing plan including:

  • Assessing the adequacy of controls and identifying underlying patterns, trends or themes.
  • Documenting testing activities and maintaining Firm records.
  • Communicating testing results to senior management verbally and in written reports.

What you have: 

  • Bachelor’s degree or equivalent experience required.
  • At least 4 years of compliance experience or 8 years related exempt level experience in a financial services organization (e.g. broker-dealer, investment advisor, banking, or similar), is required.
  • Investment Advisory experience is strongly preferred related to the Investment Advisors Act of 1940 as well as a strong working knowledge of industry rules, regulations and practices (particularly FINRA and SEC rules).
  • Series 7 license required. In addition, one of more of the following licenses is preferred: Series 9/10, Series 24, or Series 65/66.
  • Excellent MS Office skills including; Word, Excel, and PowerPoint.
  • Excellent communication skills in-person, over the phone, and in writing.
  • The successful candidate should excel at working in a fast paced environment, be able to handle multiple priorities and function equally well as an individual contributor and member of a team.
  • The position requires some travel, the ability to self-motivate and exercise sound judgment with minimal direct supervision. 

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, AZ - Phoenix, FL - Orlando, 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.