Compliance Manager- Retirement Plan Services

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Job ID:
20180118-401
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Financial Services-6+ yrs, Accounting and Finance-6+ yrs, Risk Analysis
Current Licenses / Certifications:
None
Position Located In:
TX - Austin
Education:
HS/GED
Job Type:
Full Time
Description:

Austin - TX, AUSTINB, 12401 Research Blvd, 78759
Debra Andrea Mandell
20180118-401

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 Retirement Plan Services Compliance Department provides regulatory advice and guidance to business partners on communications to retirement plan sponsors and participants based on regulations under multiple SROs and internal standards.  In addition, the Retirement Plan Services Compliance Department manages a risk assessment and testing program, working with the RPS business to review policies and procedures designed to mitigate risks, test procedures for operating effectiveness, document potential gaps, and identify areas for improvement

What you’ll do:

This individual will have responsibility for providing timely regulatory compliance advice and guidance to marketing and business enterprises creating and/or implementing internal and external electronic or print communications relating to a wide array of products and services offered by Schwab Retirement Plan Services, Inc., a retirement plan recordkeeper.  Individual will need to work collaboratively to assess and advise on applicable ERISA, DOL, and IRS requirements and the potential risks associated with communications, generally intended for existing or prospective retirement plan sponsor clients and participants.

What you have:

  • Bachelor’s degree or equivalent experience
  • 5+ years’ experience in the financial services industry, a working knowledge of qualified retirement plans is preferred
  • Strong working knowledge of Schwab Retirement Plan Services, Inc. products and services
  • Success at working with high performing, diverse, cross functional work teams
  • Strong creative thinking skills
  • Excellent verbal, written, and interpersonal communications skills
  • Strong time management and organizational skills
  • Individuals must be able work independently in a fast paced, high pressure environment
  • FINRA Series 7 and 24 (or 9/10 and 23) preferable.

 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. 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: Financial Services-6+ yrs, Accounting and Finance-6+ yrs, Risk Analysis
Position Located In: TX - Austin
Education: HS/GED
Job Type: Full Time

Category:Risk Management
Activation Date: Friday, February 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.