Phoenix - AZ, PHX8040, 8040 South 48th Street, 85044
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.
In Compliance, we help our Business Partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the Firm. We accomplish this through providing advice and guidance to our business partners regarding the applicability of rules and regulations; advice on policies, procedures and controls; reviewing advertising and communications with the public; and employing a variety of technologies and analytics.
The Senior Manager, Digital Services Compliance position is focused on providing advice and guidance to the firm’s digital services platform. The position will work closely with partners in the firm’s Digital Services teams to ensure that enhancements and innovations across a wide range of products and services aligns with the firm’s stated policies and procedures and applicable regulatory requirements. The position will be involved in all aspects of the firm’s digital innovation journey -- from idea inception to development to production implementation – and will interact with peers and leadership across a range of departments. . The position will also collaborate with Compliance, Risk, Legal and business peers and SMEs to build strong relationships and help ensure compliance.
What you’ll do:
- Provide ongoing expertise, advice and guidance to Digital Services across a wide range of enhancements and innovations to the firm’s products and services.
- Collaborate with colleagues, peers, SMEs and partners across the firm to help ensure compliance with applicable policies, procedures and regulatory requirements.
- Identify gaps and issues and provide solutions to address and mitigate potential compliance risk.
- Brief and update Compliance management on platform developments and innovations.
- Build strong relationships and liaise with Compliance and business teams across the platform.
What you have:
- Bachelor's Degree
- 5+ years’ experience in the Financial Services industry specializing in Compliance, Risk Management, Project Management, Auditing, Operations or Technology.
- Proven ability to understand and explain operational processes of broker-dealers and the application of securities regulations to those areas.
- A desire to further build your technical knowledge and an ability bridge the gap between compliance and technology.
- Robust analytical skills to evaluate complex problems and a curiosity to ask difficult questions.
- Ability to successfully interface with all levels of staff and management in a fast-paced environment with a collaborative attitude.
- Self-starter and proven ability to work independently under tight deadlines.
- Strong written and verbal communication skills with demonstrated ability to clearly and accurately summarize issues and possible solutions to a variety of audiences.
- Proficiency with suite of Microsoft Office products
- Strong background working in Digital Technology or with teams and experience helping with digital transformations
- Understanding of broker dealer compliance
- Series 7, 24 (or 8/9)
- Knowledge of Agile project management methods and processes
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:
||Project Management-6+ yrs, Internal Audit, Brokerage Operations-6+ yrs, Risk Analysis, Compliance
|Position Located In:
||AZ - Phoenix
Activation Date: Tuesday, March 6, 2018
Expiration Date: Saturday, March 24, 2018