Sr. Manager – Corporate Compliance Program

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Job ID:
20180404-2276
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Risk Analysis, Compliance
Current Licenses / Certifications:
None
Position Located In:
TX - Austin, AZ - Phoenix, TX - Westlake
Education:
BA/BS
Job Type:
Full Time
Description:

Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616
Pamela Ferrell
20180404-2276

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 Corporate Compliance Program is a firm-wide compliance program established to meet Federal Reserve expectations of The Charles Schwab Corporation.   As such, the Program coordinates and reports, on a regular basis, to senior management and the board on the firm-wide aggregated compliance risks and the assessment of compliance risk management activities.    

 

What you’ll do:

Our Corporate Compliance Program is looking for a Sr. Manager to support their growing responsibilities.  The Sr. Manager will report to the Managing Director-Corporate Compliance Program and manage initiatives needed to achieve a higher level a maturity for the Program.  The Sr. Manager will create and maintain policies & procedures, manage project plans, prepare executive reporting, and work with relevant Compliance risk subject matter experts to fulfil job responsibilities.  

 

As a Sr. Manager, you may take on a role(s) within any of the initiatives covered by the Corporate Compliance Program.  Your responsibilities may include, but are not limited to, the following activities:

  • Establish and monitor for adherence to department Standards applicable to, and appropriate for, all compliance programs (e.g. broker-dealers, investment advisors, bank & trusts, and retirement plan services).
  • Facilitate RCSA certification activities within the Compliance RCSA and centrally support Compliance’s role as a Risk Oversight Group including the use of the Compliance Risk Taxonomy within Business Unit RCSAs. 
  • Create a comprehensive and consistent approach to conducting, documenting and reporting the results of Compliance risk assessments, testing, surveillance & monitoring, and training. 
  • Prepare management reporting materials to escalate significant compliance risks and issues to the Corporate Chief Compliance Officer, Compliance Risk Committee, Global Risk
    Committee, and Board Risk Committee, where needed. 
  • Track progress against Compliance action plans including strategic plans, maturity assessments, program enhancement, supported business initiatives, regulatory and internal exam/audit remediation. 
  • Liaison with other second line organizations to maintain the Schwab Compliance Manuals and Corporate Compliance training.
  • Build and maintain strong working relationships throughout the Compliance Department, Legal Services, Corporate Risk Management and Internal Audit.
  • Display and utilize knowledge of financial services industry oversight bodies, guidelines, rule & regulations to accurately identity and position the impact of compliance risk to the Firm.
  • Be an advocate/resource with respect to coverage of the Corporate Compliance Program by driving awareness and understanding with various stakeholders to consistently manage the Firm’s compliance risk.

 

What you have:

 

 

  • A minimum of 6 years in a compliance position within a diversified financial services environment, ideally with experience creating standards and processes across entire enterprises.
  • Strong understanding of varying compliance risks that transcend business lines, legal entities and jurisdictions of operations and familiarity with regulatory requirements and expectations of prudential regulators (FRB, OCC), particularly  with respect to bank holding companies.
  • Ability to independently identify opportunities for improvement and enhance overall Compliance programs.
  • Excellent interpersonal communication with ability to effectively persuade and influence across channels (written & verbal) with a purpose and connect with audiences of all levels.
  • Proven ability to find a balance in developing programs effectively meeting potentially differing regulatory requirements and expectations while being workable for business partners.
  • Exceptional client focus and ability to build relationships and establish trust, respect, competence and confidence.
  • Proven ability to identify and solve complex issues in a team environment working with various levels of management and business partners while being disciplined in the use of Project Management principals.
  • Fully proficient in the use of Microsoft Office (Word, PowerPoint, and Excel) and SharePoint.
  • BA/BS degree required
  • FINRA Series 7, Series 65/66 and Series 9/10 or 24 license 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.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Risk Analysis, Compliance
Position Located In: TX - Austin, AZ - Phoenix, TX - Westlake
Education: BA/BS
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Monday, April 16, 2018
Expiration Date: Sunday, May 20, 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.