Policy Control Manager - International

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Job ID:
20170519-2501
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Regulatory, Compliance
Current Licenses / Certifications:
FINRA Series 63, FINRA Series 10, FINRA Series 7, FINRA Series 9
Position Located In:
AZ - Phoenix, CO - Lone Tree, IN - Indianapolis
Education:
BA/BS
Job Type:
Full Time
Description:

Lone Tree - CO, DENR1, 9800 Schwab Way, 80124
Don Carlos Collins
20170519-2501

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 responsible for providing supervisory support through direct supervision, escalation, oversight, analysis and supervisory risk assessments, to Schwab’s Investor Services (retail) group. Supervision and Controls vision is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. We strive 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.

What you’ll do:

As a Policy Control Manager (PCM), you will lead a team of centralized supervisors with a focus on supporting International and Schwab Global Services for the Investor Services (retail) group.  The PCM is also responsible for building the supervisory processes and tools required to identify, mitigate and manage supervisory issues in the business lines for which they have responsibility; therefore, the candidate will require equally impressive technical supervisory knowledge, analysis and reporting skills to be successful in the role.  This is a complex role that requires a candidate with considerable industry and supervisory knowledge and the ability to understand inherent risks associated with supporting the International business.  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.

Responsibilities include:

  • Provide leadership within and across teams/business as well as motivate and lead others
  • 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
  • Accurately documenting changes to procedural documents and mitigating impacts surrounding procedural change and implementation
  • Perform risk assessments and facilitate discussions to implement procedural controls and supervisory processes.
  • Develop process improvements and efficiencies within Supervision and Controls
  • Assisting with any other assigned duties

What you have:

  • 5+ years supervisory, risk, control, or compliance experience
  • Experience supporting International and/or Global businesses
  • Strong understanding of the complex nature of entity accounts and the inherent risks
  • Outstanding written and verbal communication skills, time management and organizational skills
  • Experience writing policies, procedures, training materials or other business procedure related documents
  • Excellent relationship management skills (negotiating, collaborating, influencing)
  • Interest in creating change through process improvements, training and streamlining functions
  • Intermediate knowledge of Microsoft Word, Excel, Outlook, Access, and PowerPoint
  • Ability to be a self-starter and work independently
  • Ability to adapt to changing business conditions
  • Ability to manage multiple projects in a fast paced, team environment
  • Demonstrated ability to prioritize business needs
  • Active and valid Series 7 and 63 are required
  • Active and valid Series 9/10 or 24 is required (may be offered as a 60-day Condition of Employment)
  • Active and valid Series 66 and 3 are preferred

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 63, FINRA Series 10, FINRA Series 7, FINRA Series 9
Relevant Work Experience: Regulatory, Compliance
Position Located In: AZ - Phoenix, CO - Lone Tree, IN - Indianapolis
Education: BA/BS
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Wednesday, May 31, 2017
Expiration Date: Saturday, June 17, 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.