Compliance Testing Manager — Retail; Hybrid
Listed on 2026-10-18
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Management
Regulatory Compliance Specialist -
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Charles Schwab is seeking a Compliance Manager to lead testing of branch and non-branch locations, assessing internal controls and regulatory adherence. You will interact with Compliance, Legal, and Risk to promote best practices and protect the firm's integrity.
The role requires strong knowledge of FINRA, SEC, NFA and OCC rules, with experience in Second Line of Defense testing. Travel and collaboration across teams are essential to success.
We are currently recruiting a Compliance Testing Manager — Retail (Hybrid) for our team in Southlake, TX, United States.
Full responsibilities and requirements are described in the listing above.
Learn more about the Compliance Testing Manager — Retail (Hybrid) role in the description above.
We appreciate your interest in this position.
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