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Charles Schwab · 1 day ago

Manager, Compliance

Omaha, NE

Full-time

Hybrid

Mid, Senior Level

5+ years exp

Charles Schwab is a company focused on transforming the finance industry through innovative thought and creative problem solving. The Manager of Compliance will support the execution of the Employee Compliance Program, focusing on electronic communications and employee trading monitoring while collaborating with various teams to ensure compliance with regulations.

Financial Services

Responsibilities

Supporting the execution of the electronic communications program including oversight and reporting

Evaluating and analyzing employee trading and disclosure activities for possible violation of law, regulation, firm policies or for other irregularities

Remaining current on regulatory developments and enterprise-wide policies and procedures needed to conduct monitoring and surveillance effectively

Identifying opportunities to enhance and create efficiencies in monitoring and surveillance and support the execution and delivery of key initiatives

Developing and cultivating strong partnerships across Compliance, Legal, Corporate Risk Management, and business partners

Qualification

Compliance experienceRegulatory experienceElectronic communications knowledgeAnalytical skillsProblem-solving skillsCommunication skillsTeamwork skills