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.
Compliance is a team dedicated to achieving Schwab's strategic priorities, protecting our customers, employees and the Schwab brand from risk, and advocating for regulatory and legislative reforms to support and expand our business. The Broker-Dealer Compliance team is primarily focused on defining, testing and measuring the risk within Schwab’s registered Broker-Dealer in addition to operating the Supervisory Control and Conflict of Interest Programs.
What you’ll do:
The International Compliance Program is seeking a Sr. Manager to coordinate the risk assessments for the International Broker-Dealer affiliates of Charles Schwab and Co. This role will be responsible for the processes that evidence the ongoing risk assessment and system of supervision through coordination of the various international risk assessments and support for the international compliance program.
This individual will:
- Provide support and coordination to the International Compliance program for the annual risk assessment of the international broker-dealer affiliates, including updating the processes, evidencing the ongoing risk assessment and system of each affiliates’ supervision
- Provide support as needed for risk assessment discussions, related documentation and presentation materials
- Tracking updates and changes to risk levels, applicable testing results
- Remain current on Firm policies and procedures, regulatory changes, as well as develop and maintain strong working relationships with colleagues within the Compliance Department.
What you have:
The successful candidate will have:
- 5+ years industry experience, with three years Broker-Dealer Compliance or regulatory experience.
- Three years of Broker-Dealer Compliance Risk Assessment experience with a large financial services firm.
- Knowledge of regulatory expectations.
- Proficiency in Microsoft Office Programs (Word, PowerPoint, Excel) as well as SharePoint.
- Project management skills and the ability to organize and process large amounts of data/information.
- Project presentation skills preferred.
- Proven ability to collaborate among compliance colleagues and the business in an effort to identify and mitigate risk across the Firm
- Previous experience working with international colleagues or businesses preferred.
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.
||English - spoken
|Current Licenses / Certifications:
|Relevant Work Experience:
|Position Located In:
||CO - Lone Tree
Activation Date: Thursday, February 15, 2018
Expiration Date: Saturday, March 24, 2018