Senior Specialist, Compliance - Regulatory Liaison Office
Pay range: USD $34.62 - $44.71 / Hour
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. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in Westlake, TX.
The Regulatory Liaison Office's (RLO) mission is to drive an informed, efficient, and effective regulatory engagement program by serving as a central point of contact for all regulatory risk matters. The RLO's vision is to be a trusted liaison with Schwab business partners and with our regulators by encouraging clarity, communication and credibility to support Schwab's businesses as they help our clients Own Their Tomorrow.
Within the Regulatory Liaison Office, our Functional Regulatory (RLO-FR) team leads, guides, and helps shape the company's regulatory interactions. RLO-FR is primarily responsible for Schwab's engagement with its securities regulators, including the SEC, FINRA, CFTC, NFA, and international and state securities regulators, on regulatory inquiries and examinations.
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The Senior Specialist, Compliance will play a key role in partnering with RLO-FR team members on inquiry support, including overseeing the intake, assignment, and recordkeeping processes; serve as primary centralized operations support; assist with exam coordination and administration; and engage in other special projects within RLO-FR.
In this role, you'll have the opportunity to:
- Manage the oversight of the intake, assignment, and recordkeeping process for regulatory inquiries and support regulatory examinations, as needed.
- Assist with RLO-FR's exam coordination and administration process, including exam request and response tracking, meeting coordination, and submissions support.
- Support RLO-FR Directors with frequent special projects.
- Help with onboarding and systems access requests for new RLO-FR team members.
- Take part in functional improvement projects for RLO-FR inquiry and examination tracking and data retention systems.
- Collaborate extensively with peers in Legal, Compliance, and other business functions.
What you have
To ensure that we fulfill our promise of "challenging the status quo," this role has specific qualifications that successful candidates should have:
Required Qualifications:
- College degree or equivalent work experience.
- Recent experience interacting directly with regulators in the financial services industry,
Preferred Qualifications:
- Strong analytical and organizational skills and excellent attention to detail.
- Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization.
- Excellent problem-solving skills and an intellectual curiosity and desire to "figure things out."
- Ability to interpret regulations and regulatory guidance and apply them to real world business scenarios.
- Proficiency in Microsoft Office programs (Word, PowerPoint, Excel, SharePoint).
In addition to the salary range, this role is also eligible for bonus or incentive opportunities
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
Perks and Benefits
Health and Wellness
- Health Insurance
- Dental Insurance
- Vision Insurance
- Life Insurance
- Short-Term Disability
- Long-Term Disability
- FSA
- FSA With Employer Contribution
- HSA
- HSA With Employer Contribution
- Pet Insurance
- Mental Health Benefits
Parental Benefits
- Birth Parent or Maternity Leave
- Non-Birth Parent or Paternity Leave
- Fertility Benefits
- Adoption Assistance Program
- Family Support Resources
- Adoption Leave
Work Flexibility
- Hybrid Work Opportunities
Office Life and Perks
- Commuter Benefits Program
- Snacks
- Company Outings
- On-Site Cafeteria
- Holiday Events
Vacation and Time Off
- Paid Vacation
- Paid Holidays
- Personal/Sick Days
- Sabbatical
- Leave of Absence
- Volunteer Time Off
Financial and Retirement
- 401(K) With Company Matching
- Stock Purchase Program
- Performance Bonus
- Financial Counseling
Professional Development
- Tuition Reimbursement
- Promote From Within
- Shadowing Opportunities
- Access to Online Courses
- Internship Program
- Work Visa Sponsorship
- Leadership Training Program
- Associate or Rotational Training Program
Diversity and Inclusion
- Employee Resource Groups (ERG)
- Diversity, Equity, and Inclusion Program