Charles Schwab · 3 days ago
Senior Specialist, Global Sanctions
Austin, TX
Full-time
Hybrid
Mid, Senior Level
3+ years expCharles Schwab is a financial services company that empowers its employees to make impactful contributions. The Senior Specialist in Global Sanctions is responsible for ensuring compliance with sanctions regulations, managing screening tools, and collaborating across business lines to enhance sanctions-related processes.
Financial Services
Responsibilities
Ensure Schwab remains compliant with all relevant sanctions regulations, to include the screening of Schwab clients, vendors, securities, and transactions against all appropriate sanctions watchlists
Identify red flags that may be associated with sanctions evasion, money laundering, and/or terrorist financing
Engage and collaborate across business lines to enhance existing sanctions screening tools and identify and implement additional processes as needed
Keep abreast of regulatory changes and appropriately document policies, procedures, and investigative outcomes
Communicate verbally and in writing with various business contacts and stakeholders regarding a range of sanctions-related issues
Prepare reports and escalate significant risks and issues in a timely manner
Support all components of the Global Sanctions team, as needed, which may include projects with a focus on operational, strategic, or technology needs
Support firm-wide training efforts related to sanctions compliance
Qualification
Required
Three to five years of experience in the financial services industry or a working knowledge of banking/broker-dealer businesses and securities/banking industry regulations and practices
Comfortable conducting up to five outbound phone calls per day to engage with clients
Desire to be viewed as a subject matter expert at all levels, both within FCRM and by our business partners
Critical thinking skills and a track record of taking ownership and driving solutions on complex assignments with regulatory or audit implications
Knowledge of U.S laws and regulations applicable to U.S. sanctions; familiarity with the U.S. Treasury Department's Office of Foreign Assets Control
Outstanding written, verbal, and interpersonal communication skills with demonstrated ability to communicate effectively with all levels of an organization
Excellent PC skills and comfort learning new systems and tools
Demonstrated ability to identify and solve complex issues in a team environment working with various levels of management and business partners
Positive attitude, enthusiasm, and strong work ethic with high level of integrity and ethics
Ability to prioritize effectively in a fast-paced environment and function in a professional manner under pressure
A bachelor's degree preferred or equivalent business experience
Preferred
FINRA series 7 registration
CAMS, CFCS, CGSS, or similar certification
Benefits
401(k) with company match and Employee stock purchase plan
Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
Paid parental leave and family building benefits
Tuition reimbursement
Health, dental, and vision insurance
Company
Charles Schwab
We have plans for every turn you take.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
J
Jim McGreevy
Senior Project Manager
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