Lone Tree - CO, DENR3, 9800 Schwab Way, 80124
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.
The position is within the Financial Crimes Compliance (FCC) Department. The organization assists in the assessment of Anti Money Laundering (AML) Compliance and Fraud risk presented to our business and the affirmative commitment to comply with laws and regulations governing money laundering, fraud and other financial crimes. A key objective of the organization is our ongoing commitment to the corporation’s abilities to meet regulatory obligations. Responsibilities of FCC extend beyond the AML/Fraud program and include the Corporation’s Anti-Bribery and Identity Theft Program, Internal Investigations, and the safeguarding of customer and corporate assets against fraud and other financial crimes.
What you’ll do:
We are currently seeking a Senior Team Manager who can motivate, inspire and develop a diverse team responsible for providing rotating support for the AML Monitoring and Investigations Team (AML M&I), the Fraud Prevention and Investigations (FPI) Team and the Enhanced Due Diligence (EDD) Team. The leader will manage a multi-faceted team that reviews time sensitive cases related to high risk clients, suspicious activity and fraud. The successful candidate will also develop partnerships with internal and external business partners for Charles Schwab & Co. and Charles Schwab Bank.
The Senior Team Manager will report into the Managing Director of AML Investigations and manage a team of FCC Investigators rotating between the AML M&I Team, the FPI Team and the EDD Team. Key responsibilities will include:
- Working closely with leaders in the AML M&I, FPI and EDD teams to determine resource allocation requirements and meet service level agreements and project demands
- Creating a work environment that promotes employee engagement by setting clear expectations and consistently providing information, resources, feedback, coaching and recognition that helps employees maintain a high level of performance
- Ensuring service level agreements are met and maintaining a balance between quality and efficiency
- Understanding of industry regulations in order to ensure team compliance with firm’s policies and procedures
- Driving business results by acting as a subject matter expert and fostering an environment that creates process efficiencies
- Identifying and selecting talent for the FCC Department
What you have:
This is a fast paced, detail-oriented, high volume, and deadline-driven environment requiring the ability to build and foster relationships across the firm in order to be successful. In addition to a background in AML/Fraud/Brokerage/Banking Operations, the ideal candidate should possess experience effectively managing people at different stages in their careers and professional development.
- At least 3 years of experience managing teams, including complete ownership of development and performance evaluations (annual reviews).
- At least 3 years of direct experience with AML/Fraud regulations and laws.
- Strong working knowledge of broker-dealer businesses, NASD/FINRA rules, federal securities regulations, 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.
- Positive attitude, enthusiasm, professionalism and strong work ethic with high level of integrity and ethics.
- Excellent communication, problem solving, and presentation skills to influence and build consensus among team members and leadership.
- Strong organizational skills with ability to work on multiple assignments and complete them within established deadlines.
- Ability to prioritize effectively in a fast paced environment and function in a professional manner under pressure.
- Ability to plan, delegate and oversee the overall work assignments within the team.
- Ability to generate metrics, analyze data and communicate results to management.
- Ability to articulate Schwab's Visions and Values to team members.
- Proficient PC skills including various platforms and applications.
- Bachelor’s degree preferred or equivalent business experience.
The following additional qualifications are preferred:
- AML Compliance or Fraud Investigations experience (preferred)
- FINRA Series 7, 9/10, 24 registrations (preferred)
- Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE), or Certified Financial Crimes Specialist (CFCS) certification (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.
||English - spoken
|Current Licenses / Certifications:
|Relevant Work Experience:
|Position Located In:
||CO - Lone Tree
Activation Date: Tuesday, January 2, 2018
Expiration Date: Thursday, February 1, 2018