Manager - Compliance (Compliance Examiner)

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Job ID:
20170515-2387
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Legal-2-5 yrs, Regulatory, Financial Services-2-5 yrs, Compliance, Banking-2-5 yrs
Current Licenses / Certifications:
FINRA Series 7
Position Located In:
TX - Austin, IL - Chicago, AZ - Phoenix
Education:
BA/BS
Job Type:
Full Time
Description:

Austin - TX, AUSTINB, 12401 Research Blvd, 78759
Jose Tolentino
20170515-2387

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: 

(Internal Job Title: Manager – Compliance. This is a newly-created and mission-critical individual contributor position which can be based at any of these Charles Schwab Office Locations: Austin, TX; Phoenix, AZ; or Chicago, IL.)

We are looking for a Manager – Compliance (Compliance Examiner) to support our dynamic Retail Testing & Monitoring Team.

What you’ll do:

The Manager – Compliance (Compliance Examiner) will report to the Managing Directors of Retail Testing & Monitoring. Will be primarily focused on conducting testing to evaluate the effectiveness and adequacy of certain internal controls, policies, procedures and systems of supervision designed to achieve and/or monitor compliance with applicable regulatory requirements.

Specifically, the Examiner will:

  • Conduct all required testing and report results of testing to business unit management Keep current on rules, regulations and policies necessary to effectively and adequately conduct testing.
  • Follow up on testing observations reported to business unit management and complete the action plan validation.
  •  Escalate status of testing as warranted.
  • Visit various Schwab locations including headquarters, service centers and branches to conduct examinations.
  • Travel about 20-25% (about 3 to 5 business days per month). The percentage of travel may fluctuate based on current projects and examinations.
  • Other duties and special projects as assigned.  

What you have: 

  • Bachelor’s Degree and 3 years minimum of broker-dealer compliance experience (e.g. bank examiner or financial      services industry regulator, or similar), required.
  • FINRA Series 7 license required.
  • Working knowledge of industry rules, regulations and practices (particularly FINRA,NFA and SEC rules), is required.
  • Prior experience in assessing procedures and developing a testing process a must.
  • Strong written and research skills with the ability to prioritize tasks, are musts.
  • Strong communication, coordination and negotiation skills, required.
  • Good PC skills including Word and Excel, required.
  • Excellent writing skills, including the ability to write concise reports, required.
  • Must be willing and able to travel 20 – 25% (about 3 to 5 business days per month).

What you’ll get:

  • Comprehensive Compensation and Benefits package
  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
  • 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.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: FINRA Series 7
Relevant Work Experience: Legal-2-5 yrs, Regulatory, Financial Services-2-5 yrs, Compliance, Banking-2-5 yrs
Position Located In: TX - Austin, IL - Chicago, AZ - Phoenix
Education: BA/BS
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Thursday, May 25, 2017
Expiration Date: Saturday, July 1, 2017
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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.