Job Information
Charles Schwab Senior Manager, Compliance Risk Testing – Branch - Broker Dealer in Westlake, Texas
Your opportunity
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the firm. We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join the team, as a Senior Manager, responsible for conducting retail and independent branch office compliance testing. The Senior Manager is an individual contributor and will conduct testing to evaluate the effectiveness and adequacy of certain internal controls, policies, procedures, and systems designed to achieve and/or monitor compliance with applicable regulatory requirements.
The Senior Manager is expected to make recommendations to enhance and refine the testing program and will remain current on regulatory developments, enterprise-wide policies and procedures, as well as develop and foster strong partnerships across Compliance, Legal, Corporate Risk Management, and with business partners.
What you have
Required Qualifications:
Minimum of 8 years of experience within financial services
3-5 years of experience in a Regulatory Testing/Examiner/Audit role
Understanding of FRB, SEC, FINRA, OCC, NFA, Privacy and Anti-Money Laundering rules and regulations
Travel: Must be able to travel 20% - 25% during the course of the year (roughly one week a month)
Preferred Qualifications:
Bachelor’s degree or equivalent experience
Understanding and experience with Microsoft suite of applications (Word, Excel, PowerPoint)
Professional licensing and/or compliance certifications (e.g., FINRA Series 7, 66, Investment Adviser Representative, CRCP and CAMS)
General understanding of financial holding company, bank, broker-dealer, and investment advisory businesses, as well as testing standards/methodologies
Familiarity with the execution of Second Line of Defense compliance testing including compliance risk management principles
Excellent attention to detail
The ability to work independently, take ownership, be accountable
Strong written and verbal communication skills
Sound organization and prioritization skills
Results oriented
What’s in it for you
At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
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
What’s in it for you:
At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
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
Schwab is an affirmative action employer, focused on employing and advancing in employment, qualified women, racial and ethnic minorities, protected veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at applicantaccessibility@schwab.com or call 800-275-1281.