BSA/AML High Risk Accounts Senior Team Manager

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Job ID:
Job Category:
Relevant Work Experience:
Regulatory, Compliance
Current Licenses / Certifications:
Position Located In:
CO - Lone Tree
Job Type:
Full Time

Lone Tree - CO, DENR3, 9800 Schwab Way, 80124
Debra Andrea Mandell

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 position is within the Anti Money Laundering (AML) Compliance Department, part of the Financial Crimes Risk Management (FCRM) organization. The organization assists in the assessment of AML risk presented to our business and the affirmative commitment to comply with laws and regulations governing money laundering activities, those identified under OFAC, as well as other financial crimes. A key objective of the organization is our ongoing commitment to the corporation’s abilities to meet regulatory obligations. Responsibilities of FCRM extend beyond the AML program and include the Corporation’s Anti-Bribery and Identity Theft Program, Internal Investigations, and the safeguarding of customer and corporate assets against Fraud.

We are currently seeking a BSA/AML High Risk Account (HRA) Senior Team Manager who can motivate, inspire and develop a diverse team, responsible for analyzing and resolving alerts created within the Actimize system and ad-hoc referrals across the firm. The leader will manage a multi-faceted team that reviews time sensitive alerts, assesses the risk the alerting clients pose to the firm, and makes a final call to maintain or de-escalate the alert. The successful candidate will also develop partnerships with internal and external business partners for Charles Schwab & Co. and Charles Schwab Bank. The BSA/AML HRA Sr. Team Manager will work in close partnership with our HRA team in Phoenix.

What you’ll do:

  • 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;
  • Creating, maintaining and updating department policies, procedures, and risk assessments;
  • 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, fostering an environment that creates process efficiencies, leading project initiatives, and ensuring the implementation of projects within the department;
  • Identifying and selecting talent for the BSA/AML HRA.
  • The Senior Team Manager will report into our Managing Director of BSA/AML High Risk Accounts, and manage a team of BSA/AML HRA analysts.

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 Compliance/Brokerage/Banking Operations, the ideal candidate should possess experience effectively managing people at different stages in their career and professional development.

  • At least 5 years of experience managing teams including complete ownership of development and performance evaluations (annual reviews).
  • At least 3 years of direct experience with AML Compliance 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 and special projects 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 or equivalent business experience (at least 10 years BSA/AML).

 The following additional qualifications are preferred:

  • CAMS and/or CFCS, Series 7, 9/10, 63, 24.

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: None
Relevant Work Experience: Regulatory, Compliance
Position Located In: CO - Lone Tree
Education: BA/BS
Job Type: Full Time

Activation Date: Tuesday, January 2, 2018
Expiration Date: Saturday, February 17, 2018
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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.