Charles Schwab · 21 hours ago
Manager, Compliance - Data Analytics and Innovation
Southlake, TX
Full-time
Hybrid
Mid Level
3+ years expCharles Schwab is a leading financial services firm that empowers individuals to make impactful career decisions. The role of Manager, Compliance - Data Analytics and Innovation involves designing AI and machine learning solutions to enhance compliance processes, leveraging advanced analytics to identify risks, and ensuring data governance in compliance reporting.
Financial Services
Responsibilities
Design and implement AI/machine learning solutions to automate compliance testing, reporting, and risk assessment, and streamline operational workflows (e.g., scheduling, records management, logistics)
Leverage advanced analytics tools (e.g., Tableau, Power BI) to identify trends, emerging risks, and improvement opportunities, generating actionable insights for decision-making
Develop and maintain comprehensive dashboards and reports from various sources to enhance the documentation, analysis, and overall reporting of compliance processes
Establish and enforce robust data governance and quality controls to ensure the accuracy, security, and integrity of compliance data, adhering to Firm and regulatory standards
Deploy proactive monitoring systems and real-time alerts to identify and mitigate emerging risks effectively
Maintain current knowledge of SRO rules (FINRA, SEC, NFA), federal, and state regulations, alongside industry trends, competitor activities, and regulatory developments in digital assets
Provide support to Director(s) and fulfill additional assigned duties and special projects as required
Qualification
Required
Bachelor's degree required
Minimum of 3-5 years of experience in compliance and/or risk management
Knowledge of data governance principles, data quality frameworks, and compliance
Demonstrated strong analytical abilities, a proactive approach to assignments, and proven problem-solving skills, adept at business intelligence and data transformation
Proficient in analytics tools, including MS Excel, PowerPoint, and data visualization platforms such as PowerBI, Tableau, and SharePoint
Excellent written and verbal communication skills, with the ability to tailor messages for diverse audiences
Strong collaboration and influencing skills with a track record of working cross-functionally and driving alignment
Exceptional attention to detail, sense of urgency, and capacity to thrive in a dynamic, fast-paced environment
Demonstrated passion for continuous learning and intellectual curiosity regarding emerging technologies and financial innovation
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
Recent News
2025-10-04
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