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Charles Schwab · 1 day ago

Senior Manager, Compliance Trade Surveillance

US-TX-Westlake

Full-time

Onsite

Senior Level, Lead/Staff

$115K/yr - $145K/yr

8+ years exp

Charles Schwab is a financial services company that empowers its employees to make an impact on their careers. They are seeking a Senior Manager for their Compliance Trade Surveillance Team to lead digital asset trade surveillance and enhance the efficiency and integrity of surveillance outcomes while fostering strong partnerships and driving innovation.

Financial Services

Responsibilities

Perform trade surveillance monitoring for possible violation of applicable regulations and firm policies, resolving or escalating potential issues in accordance with Corporate Compliance Standards

Perform trade surveillance in digital asset trading as well as other asset classes to support the overall team success

Build constructive relationships with business partners while adhering to the highest ethical standards

Demonstrate strong analytical and strategic skills to appropriately assess, challenge, and influence business partners

Stay current and mentor teammates to keep up with the industry trends and regulatory landscape changes that impact surveillance coverage and scope

Proactively identify patterns or trends that may emerge in surveillance reviews

Identify and implement innovation, modernization, and data-driven approach to identify efficiency creation opportunities and implement enhancements to the day-to-day processes

Support Director with mission and shaping of the team’s overall achievements

Escalate identified issues in a timely fashion and evaluate impact of the issues and remedial actions to internal and external constituents

Ensure comprehensive reviews are conducted and issues are addressed in a timely fashion

Ensure procedure(s), documentation, and evidencing are sufficiently updated and stored in accordance with the applicable policies and procedures

Qualification

Market surveillanceDigital asset tradingTrade surveillanceCryptocurrency knowledgeRegulatory understandingData-driven reportingMicrosoft SuiteAnalytical skillsCompliance certificationsStrategic thinkingAttention to detailTime managementInterpersonal skills

Required

Minimum of 8 years of experience within financial services with a general understanding of broker-dealer, financial holding company, bank, and investment advisory businesses

5 years of experience in a market surveillance, trade surveillance, or trading-related role, including surveillance of trading in cryptocurrencies and digital assets

Extensive knowledge of cryptocurrency and digital asset trading, including trading structure, price movements, and the broader ecosystem structure, including participants, trading venues, and regulatory frameworks

Extensive knowledge of various asset classes, particularly of trading in equities, equity options, fixed income, futures and futures derivatives and ability to perform trade surveillance on such asset classes

Understanding of SEC, FINRA, CFTC, NFA, Anti-Money Laundering rules and regulations

Understanding and experience with Microsoft suite of applications (Word, Excel, Power Point)

Proficiency in data-driven reports and usage, including Tableau and Power Apps

Preferred

Bachelor's degree or equivalent experience

Familiarity with the execution of Second Line of Defense compliance responsibilities and compliance risk management principles

Ability to independently identify opportunities for improvement and enhance overall Compliance programs

Sound judgment to influence a strong risk management culture across business practices

Strong analytical and strategic thinking skills

Excellent attention to detail and the ability to work independently

Mastery of appropriate interpersonal styles and ability to communicate effectively, both orally and in writing, with all levels within the enterprise

Strong time management, organization, and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail

Professional licensing and/or compliance certifications (e.g. FINRA Series 7, 24, Investment Adviser Representative, CRCP and CAMS)

The ability to develop, maintain, and strengthen partnerships and work collaboratively with others inside or outside of the organization

Flexibility and openness to different and new ways and processes