Manager, Compliance - Data Analytics and Innovation

Pay range: USD $92,000.00 - $115,000.00 / Year

Your opportunity

At Schwab, you are 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.

Schwab's Compliance department is part of the broader Corporate Risk Management organization and is primarily responsible for providing advice and counsel to individuals and families regarding their financial needs, including retirement planning, education planning, investment management, estate planning, active investing, managed investing, banking and lending.

This role will support the Corporate Compliance organization which administers compliance reporting, risk and branch testing, risk assessment, training, regulatory change management and policy governance.

We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location.

What you'll do:

• 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.

• 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.

• 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