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Charles Schwab · 1 hour ago

Sr Manager - Compliance

Southlake, TX

Full-time

Hybrid

Senior Level

5+ years exp

Charles Schwab is a financial services company that empowers employees to make an impact on their careers. They are seeking a seasoned Compliance Professional to lead various Compliance functions, particularly focusing on Registration and regulatory requirements for Associate Persons, while collaborating with multiple teams to ensure compliance and address deficiencies.

Financial Services

Responsibilities

Provide guidance and identify conflicts in compliance matters

Flag deficiencies and track violations

Monitor the completion of compliance requirements

Provide management information systems (MIS) to Compliance, Risk, and Business partners

Handle conduct escalations and provide guidance on policies including Registration and Licensing, Personal Account Disclosures, and Electronic Communications

Qualification

FINRA Rules knowledgeSecurities industry experienceRegulatory compliance expertiseEmployee Compliance processesProcess improvement identificationDeficiency trackingEffective communication

Required

5 – 10 years of professional experience in the financial services industry, including direct experience in Securities, Futures, MLO Registration (FINRA, NFA, NMLS)

A deep understanding of the regulatory environment, knowledge of securities industry rules and regulations, and comprehensive knowledge of qualification requirements

Ability to perform daily supervisory reviews of Employee Compliance processes and activities

Ability to identify and track deficiencies

Ability to both identify need for Process/Systems improvements and be able to communicate requirements to IT partners

The ability to develop an understanding of each Schwab business and determine qualification requirements

Effective communication skills, both verbal and written, with an ability to articulate compliance requirements

The ability to identify deficiencies and create monitoring reports