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Charles Schwab · 2 hours ago

Senior Manager, Compliance

US-TX-Southlake

Full-time

Onsite

Senior Level

$125K/yr - $160K/yr

5+ years exp

Charles Schwab is a company focused on transforming the finance industry through innovative thought and problem solving. They are seeking a seasoned Compliance Professional to lead their Employee Compliance Team, focusing on regulatory requirements and ensuring adherence to compliance policies.

Financial Services

Responsibilities

Monitoring, flagging deficiencies, tracking and addressing violations

Handling conduct escalations

Providing guidance to employees at levels on the policies our group covers including: Registration and Licensing, Personal Account and Disclosures, Electronic Communications, Gifts and Entertainment and Charitable sponsorships

Qualification

FINRA Rules knowledgeSecurities industry experienceRegulatory compliance expertiseEmployee Compliance processesProcess improvement identificationMonitoring report creationEffective communication

Required

A Bachelor's Degree is preferred

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