Senior Manager, Compliance Regulatory & Registration Group

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Job ID:
20170619-3116
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Regulatory, Financial Services-2-5 yrs, Compliance
Current Licenses / Certifications:
None
Position Located In:
TX - Austin, AZ - Phoenix, CA - San Francisco
Education:
BA/BS
Job Type:
Full Time
Description:

Austin - TX, AUS1, 2309 Gracy Farms Lane, 78758
Don Carlos Collins
20170619-3116

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:

Compliance Regulatory & Registration Group (CREGS): The Department provides leadership, advice and guidance to business partners on the applicability of industry rules and regulations; facilitates and manages broker/dealer,  Investment Advisor , Bank and NFA Introducing Broker and Futures Commission Merchant licensing & registration; responds to regulatory inquiries and complaints forwarded to the Firm by regulators; assesses and fulfills regulatory disclosure reporting obligations for litigation/arbitration matters and complaints; and manages examinations by securities regulators.

What you’ll do:

The successful candidate will be responsible for participating in the Firm’s securities exams, which includes but may not be limited to coordinating document production with various business units, obtaining relevant corporate records and preparing them for production, and scheduling interviews with business leaders. Further, the role requires flexibility in supporting colleagues with regulatory complaints and inquiries from securities regulators.  The Sr. Manager will also be responsible for assisting with Management Reporting. The preferred location for this role is Austin, TX with Phoenix, AZ as a possible alternate location.

What you have:

The following qualifications are required:

  • BA/BS degree or equivalent experience
  • At least 5 years of experience in a broker-dealer business supervisory or Compliance role with a strong working knowledge of securities industry regulations governing broker-dealer operations
  • Experience writing and influencing broker-dealer or relevant financial industry policies/procedures and supervisory processes
  • Strong self-starter and relationship builder with an ability to influence, motivate and persuade others to achieve desired outcomes
  • Proven ability, both independently and in a collaborative environment, to identify, explain and solve complex issues engaging various levels of management and business partners 
  • Strong understanding of the role of Compliance and the relationship between Compliance and business partners 
  • Advanced written, verbal, and presentation communication skills
  • Detail oriented, with the ability to handle multiple tasks and deadlines efficiently 

The following qualifications are preferred:

  • Experience participating in securities exams
  • Specialized knowledge in certain areas of the securities industry; trading, operations, sales practice etc.
  • Advanced skills with Microsoft Word, Excel, PowerPoint
  • Experience designing and preparing management reports
  • FINRA Series 7, 9/10, 24 and/or 66 licenses

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. 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.

 


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Regulatory, Financial Services-2-5 yrs, Compliance
Position Located In: TX - Austin, AZ - Phoenix, CA - San Francisco
Education: BA/BS
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Friday, October 20, 2017
Expiration Date: Friday, December 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.