Pay range: USD $100,000.00 - $145,000.00 / Year
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 building client trust and safeguard the integrity of the Firm.
We are looking for a Senior Manager to support our dynamic Employee Compliance Team. The Employee Compliance Team covers Registration, Employee Monitoring and Reporting, Compliance Certifications, Personal Account Disclosure, Employee Conflicts Reviews and Gifts and Entertainment policy adherence.
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This Senior Manager individual contributor will play a key role in transforming the direction of the current Employee Compliance Program. While the program is currently designed to facilitate the registration and disclosure processes, presently much of the responsibility for identification, determining requirements and follow-up is being handled by the supervisors. The Senior Manager will make a significant impact through augmenting Compliance's role in this process by providing guidance, flagging deficiencies, tracking and addressing violations, monitoring completion of requirements and providing MIS to our Compliance SME partners and business partners.
The Senior Manager will:
- Identify team training needs and gaps to assist with the transformation of certain roles from clerical roles to Compliance Officer roles.
- Streamline reporting process by designing useful dashboard style reports (eliminating need for multiple emails/reports, tasks)
- Help lead coverage model transformation - monitoring by business not tasks.
- Work with IT on process and workflow improvements.
- Assist in the development of an enhanced violations monitoring program.
- Participate as needed in any /all hands projects as needed.
- Review and process personnel disclosures including securities accounts, outside business activities and private securities transactions utilizing our proprietary disclosure system.
- Perform daily and periodic review (surveillance) of personnel trading and account activities using our proprietary surveillance tool, vendor systems, statements, and reports.
- Conduct and document reviews and address findings with personnel and supervisors to understand circumstances and provide appropriate guidance.
- Create and review reports containing personnel disclosure information to detect trends and identify areas of potential risk.
- Serve as the subject matter authority and provide compliance advice and to all personnel, including Senior Executives, supervisors, and other business units regarding Employee Compliance requirements.
- Administer and maintain systems and reports to support surveillance, disclosure, and other responsibilities within the Employe Compliance Department
- Collaborate with cross-functional business units to execute stretch projects aligned with Employee Compliance initiatives, driving innovation, and improving interdepartmental processes.
- Support the review and update of relevant sections of the Compliance Manual/Standards
- Participate in industry calls/meetings/committees with colleagues from peer firms and regulators to ensure awareness of new and changing regulatory requirements to determine impact to firm.
- Cross train and back-up Monitoring team
What you have
Required Qualifications:
- BA/BS degree or equivalent experience.
- 5-10 years professional experience in a broker-dealer business, Supervisory or Compliance experience preferred.
- Strong working knowledge of securities industry rules and regulations, applicable policies to and ability to distill practical applications of such rules, regulations, and policies.
Preferred Qualifications:
- Proven ability to identify and solve complex issues in a team environment working with various levels of management and business partners.
- Detail oriented with the ability to juggle multiple tasks of varying degrees of urgency and meet deadlines.
- Prior experience using relevant regulatory systems (e.g., WebCRD, IARD, ORS, NMLS, etc.).
- Strong verbal and written communication skills, with the with the ability to communicate and collaborate with all employee levels, including senior management.
- Strong analytical and advanced Microsoft Excel skills preferred.
- Proficiency with Microsoft Excel and PowerPoint.
- Experience with Tableau, Microsoft Excel, and other database management tools such as Microsoft SQL Server.
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