Managing Director - Compliance

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Job ID:
20170602-2805
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Financial Services-6+ yrs, Legal-6+ yrs, Regulatory, Banking-6+ yrs, Brokerage Operations-6+ yrs, Compliance
Current Licenses / Certifications:
FINRA Series 24, FINRA Series 10, FINRA Series 7, FINRA Series 9
Position Located In:
TX - Austin, IL - Chicago, AZ - Phoenix, CO - Lone Tree
Education:
BA/BS
Job Type:
Full Time
Description:

Austin - TX, AUSTINB, 12401 Research Blvd, 78759
Jose Tolentino
20170602-2805

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, and reviewing advertising and other communications with the public.

We are currently offering the opportunity for a dynamic and engaging Compliance Professional to lead our Compliance testing efforts related to Schwab’s Retail Broker-Dealer Examination Team as a Managing Director. The Director will oversee the testing of the Firm’s branch offices located across the country. The Director will remain current on regulatory developments, Firm policies and procedures, as well as develop and foster strong partnerships across the Compliance Department, Legal, and business partners. 

What you’ll do: 

  • Provide day to day leadership of our geographically diverse testing team;
  • Coordinate and manage the timely completion of the annual branch examination schedule;
  • Draft and review work papers, testing results, and examination reports of team members, and ensure reports are issued in a timely manner, including the validation of all corrective actions;
  • Train new team members;
  • Generate and present report statistics for Compliance and Business Management; and
  • Continually evaluate the need for enhancements to the Broker-Dealer examination program, and coordinate testing efforts across the Retail Compliance Testing Team.  

What you have: 

  • At least 10 years of experience within the financial services industry with a thorough understanding of retail broker-dealer business, SEC rules, and securities industry practices.
  • Proven ability to independently identify opportunities for improvement and enhance overall Compliance programs.
  • Strong understanding of FINRA and SEC rules including the Investment Advisors Act and securities industry practices.
  • Proven ability to identify and solve complex issues in a team environment working with various levels of management and business partners.
  • Proven ability to draft examinations scopes identifying risk and writing exam modules relevant to the business area.
  • Thorough understanding of the role of Compliance and the relationship between Compliance and business partners.
  • Experience attracting and retaining talent and leading engaged teams of professionals.
  • 3 years of experience in a leadership role leading exempt staff.
  • Strong written and oral communication skills with all levels of staff and management.
  • Ability to work independently and manage multiple complex issues.
  • BA/BS degree.
  • FINRA Series 7 and Series 9/10 or 24 license required. 

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 24, FINRA Series 10, FINRA Series 7, FINRA Series 9
Relevant Work Experience: Financial Services-6+ yrs, Legal-6+ yrs, Regulatory, Banking-6+ yrs, Brokerage Operations-6+ yrs, Compliance
Position Located In: TX - Austin, IL - Chicago, AZ - Phoenix, CO - Lone Tree
Education: BA/BS
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Friday, June 16, 2017
Expiration Date: Saturday, July 1, 2017
Apply Here
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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.