Charles Schwab · 1 day ago
Manager, Compliance - Risk Assessment
US-TX-Southlake
Full-time
Onsite
Entry, Mid Level
$83K/yr - $115K/yr
2+ years expCharles Schwab is a financial services company that empowers its employees to impact their careers. The Compliance Risk Assessment Manager will execute and manage compliance risk assessments, identifying significant compliance risks and preparing reports for key stakeholders.
Financial Services
Responsibilities
Execute and manage Compliance Risk Assessments to determine areas that present the most significant compliance risk
Coordinate with a supervisory and/or coordinator to plan and execute compliance risk assessments
Identify, evaluate, rate and report regulatory risk
Prepare risk assessment reports and present findings to key stakeholders
Maintain a strong working knowledge of regulations applicable to investment advisers (IAs) and/or Banking and Trust Services
Assist with the preparation of standard and special purpose reports designed to provide applicable Risk Committees, key stakeholders, Business Units with the background analysis and results of the Compliance Risk Assessments
Qualification
Required
BS/BA degree or equivalent work experience in regulatory compliance matters impacting investment advisers and/or banks and trust companies
2+ years of compliance experience
Ability to read and analyze large quantities of reports/ data and pinpoint and summarize meaningful trends and material components in a concise summary
Strong attention to detail
Ability to work independently
Ability to prioritize activities and meet deadlines
Ability to identify and assess regulatory risk and risk mitigation/controls
Preferred
Strong knowledge and understanding regulatory expectations, interpreting regulatory guidance, and assessing risk
Strong written and verbal communication skills, including the ability to clearly articulate risks to key stakeholders, independently prioritize multiple priorities and changes in scope
Ability to think critically about Compliance Risk Assessments inputs and results
Ability to work collaboratively with department teammates and subject matter experts to maintain accurate information within the risk assessments
Courage to effectively challenge SMEs, teammates, and senior leadership to help improve the Compliance Risk Assessment data and process
2+ or more years of experience with investment advisory and/or banking/trust laws, rules and regulations
A good understanding of fiduciary and conflict of interest expectations
Professional certification(s): including Certified Regulatory Compliance Manager (CRCM), Certified Securities Compliance Professional (CSCP), Certified Internal Auditor (CIA), or Certified Risk Professional (CRP)
SharePoint experience
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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