Managing Director, Compliance Registration Services

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Job ID:
20170921-4895
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Regulatory, Compliance
Current Licenses / Certifications:
None
Position Located In:
TX - Austin, AZ - Phoenix
Education:
BA/BS
Job Type:
Full Time
Description:

Austin - TX, AUSTINB, 12401 Research Blvd, 78759
Don Carlos Collins
20170921-4895

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:

The Compliance Department coordinates the Company's compliance efforts, and performs an advisory, monitoring, testing, and education role to support management's supervisory responsibility and its efforts to achieve compliance with the financial services industry rules and regulations, and policies of the Company.

What you’ll do:

Responsible for managing or co-managing the day to day licensing & registration functions of the broker/dealer(s), certain Investment Advisors, NFA and NMLS. The role provides regulatory advice and guidance primarily involving FINRA registration rules to business leadership, supervisors, and Compliance colleagues. Business and Compliance support includes developing and managing tools and resources, communications, and service teams in the licensing and registration areas. Further, the role requires flexibility in supporting colleagues with regulatory examinations and inquiries from securities regulators. The Managing Director will also be responsible for developing talent within the group. 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 7 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, including licensing & registration
  • Significant experience with U4/U5 disclosure requirements and a thorough understanding of FINRA Rule 4530
  • WebCRD/IARD knowledge/experience
  • Demonstrable knowledge of Investment Advisor Representative state licensing requirements
  • Experience writing and influencing broker-dealer or relevant financial industry policies/procedures and supervisory processes
  • Experience managing, coaching and developing a strong service oriented team
  • 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 

The following qualifications are preferred:

  • Experience partnering with technology teams to improve processes or deliver new or enhanced business applications
  • Experience designing and preparing management reports
  • Forms BD, ADV, 7R and BR experience
  • National Mortgage Licensing System Registration knowledge/experience
  • 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, Compliance
Position Located In: TX - Austin, AZ - Phoenix
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.