Skip to main contentA logo with &quat;the muse&quat; in dark blue text.
Charles Schwab

Sr Compliance Manager: Regulatory Exams

Your Opportunity The Compliance Regulatory Group (CREG): CREG provides leadership, advice and guidance to Compliance and business partners on the applicability of industry rules and regulations; responds to regulatory inquiries forwarded to Schwab by regulators; and handles examinations by banking and securities regulators.

What you're good at

  • Coordinate securities regulatory examinations in concert with the CREG Directors. In particular, responsible for exam administration and recordkeeping from start to finish.
  • Direct communication with regulators including tracking requests for information and facilitating meetings and interviews of firm personnel.
  • Evaluate exam requests and responses for potential issues or inaccuracies.
  • Preparation of reports to team leadership on the status of exams.
  • Evaluate the exam administration process and make recommendations as to the effectiveness and adequacy of documentation and record retention and tools for more efficient exam management.

Want more jobs like this?

Get jobs delivered to your inbox every week.

By signing up, you agree to our Terms of Service & Privacy Policy.


What you have
  • Bachelor's degree required, with a minimum 5 years relevant experience in a Broker/Dealer or regulatory agency.
  • Strong organizational skills, excellent attention to detail, and proficiency in MS Office, PowerPoint and excel.
  • Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization.
  • Knowledge of securities industry regulatory practices.
  • FINRA licenses a plus.
You demonstrate these behaviors:
  • Exceptional judgment as well as an understanding of the potential implications of actions and decisions.
  • Work in coordination with various teams in CREG and Compliance.
  • Great teammate willing to cross-train and assist with CREG activities beyond examinations.
  • Ability to effectively balance multiple conflicting priorities with associated deadlines.

Job ID: CharlesSchwab-62393
Employment Type: Other

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
  • 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

This job is no longer available.

Search all jobs