Senior Manager, Compliance

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.

Our team is dedicated to covering a variety of compliance functions, including Registration, Employee Trading, Electronic Communications, Compliance Monitoring and Reporting, and Compliance Certifications/Disclosures. As we continue to transform our Employee Compliance Program, we recognize the need to shift more responsibility onto our Compliance team. This includes providing guidance to employees and offering robust support to supervisors.

We are currently seeking a seasoned Compliance Professional with deep expertise in registration and licensing requirements, including FINRA, SRO, States, Banking (MLO/NMLS) NFA, and Investment Advisor requirements. The ideal candidate should possess extensive knowledge of FINRA Rules 1210, 1220, and 3110. This role requires close collaboration with partners in the business, Human Resources, Legal, Risk, and Supervision. It's crucial that the candidate has the ability to identify registration and licensing deficiencies, work to close the gaps.

While the primary focus for this role will be on registration and licensing, we are looking for someone who can also provide guidance to employees on other policies our group covers, including, Personal Account and Disclosures, Electronic Communications, Gifts and Entertainment, and Charitable Sponsor ships.

What you have

* A bachelor's degree is preferred.

* Extensive experience with WebCRD, FINRA Gateway, and NFA ORS.

* Advanced Excel, Tableau, SQL.

* 5-10 years of professional experience in the financial services industry, including direct experience in Securities, Futures, and MLO Registration (FINRA, NFA, NMLS).

* Ability to distinguish the difference between Permissive and Required Registration roles.

* A deep understanding of the regulatory environment, knowledge of securities industry rules and regulations, and comprehensive knowledge of qualification requirements.

* Ability to perform daily supervisory reviews of Employee Compliance processes and activities.

* The ability to identify the need for Process/Systems improvements and communicate requirements to IT partners.

* The ability to develop an understanding of each Schwab business to determine qualification requirements.

* Effective communication skills, both verbal and written, with an ability to articulate compliance requirements clearly.