Policy Control Manager - Business Electronic Surveillance Team

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Job ID:
Job Category:
Relevant Work Experience:
Regulatory, Compliance
Current Licenses / Certifications:
FINRA Series 66, FINRA Series 10, FINRA Series 7, FINRA Series 9
Position Located In:
AZ - Phoenix, IN - Indianapolis
Job Type:
Full Time

Indianapolis - IN, INDYC, 8332 Woodfield Crossing Blvd, 46240-2482
Don Carlos Collins

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:

Supervision & Controls is an independent group and is responsible for ensuring adherence to regulatory and corporate mandates for all sales activities performed within Schwab’s Investor Services business. 

Supervision and Controls strives to improve business outcomes by providing and applying practical, consistent, effective and unbiased risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment.

Policy Control Managers (PCM) within the Supervision & Control Branch support area are FINRA registered professionals with significant experience applying supervisory best practices across the wealth management industry and branch networks.  Policy and Control managers are leadership positions and a PCM utilizes extensive electronic communications to manage teams, monitor client account and trade activity, identify trends and ensure a complaint business environment.

The preferred location for this role is Indy, Phoenix (Peak) or Westlake. Candidates in other locations will be considered.

What you’ll do:                                                                                            

As a Policy Control Manager (PCM), you will lead the Business Electronic Surveillance Team (BEST), which is comprised of 4 team members, to support the supervision of email, chat, text and social media interactions across the Investor Services business channels (Branch, CS&S and SPCIA). 

The PCM is responsible for building the supervisory processes and tools required to identify, mitigate and manage supervisory issues within the Investor Services business; therefore the candidate will require technical supervisory knowledge, analysis and reporting skills to be successful in the role.  To be effective in this role, the PCM must be able to work with all levels within the Schwab organization to identify issues and work with our business partners to implement solutions that increase supervisory controls and streamline processes.

In addition, the PCM is responsible for building BEST team member’s market expertise and product knowledge, and actively manage their career development.

Responsibilities include:

  • Provide leadership and accountability within and across teams/business
  • Perform risk assessments and facilitate discussions to implement procedural controls and supervisory processes.
  • Managing and participating in cross enterprise projects
  • Establishing productive relationships with internal business partners
  • Interviewing business partners to gather data and to create new and/or update existing procedures
  • Partnering with Supervision & Controls areas to accurately documenting changes to procedures
  • Support new product and services rollouts to clients

What you have:

  • 8+ years supervision experience
  • Strong knowledge and understanding of compliance and regulatory requirements applicable to the brokerage/investment advisory industry
  • Excellent relationship management skills (negotiating, collaborating, influencing), including experience working with all levels of management
  • Experience writing policies, procedures, training materials or other business control related documents
  • Self-started and ability to work independently
  • Intermediate knowledge of Microsoft office productivity tools
  • Bachelor’s degree or equivalent work experience 
  • Active and valid FINRA Series 7, 66 (63/65), 8 or 9/10 required.  120 day COE
  • FINRA Series 24 a plus 
  • Life and Health Insurance licenses is preferred but not required (may be offered as a 120 day COE
  • Other licenses will be considered

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/affirmative action employer committed to diversifying its workforce. All applications are considered without regard to race, color, religion, sex, sexual orientation, national origin, age, disability, protected veteran status (disabled veterans, recently separated veterans, active duty wartime or campaign badge veterans, Armed Forces service medal veterans), or based on any individual's status in any group or class protected by applicable federal, state or local law.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: FINRA Series 66, FINRA Series 10, FINRA Series 7, FINRA Series 9
Relevant Work Experience: Regulatory, Compliance
Position Located In: AZ - Phoenix, IN - Indianapolis
Education: BA/BS
Job Type: Full Time

Activation Date: Wednesday, May 31, 2017
Expiration Date: Saturday, July 1, 2017
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Apply Now    

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.