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.
Reporting to the Managing Director, Chief Compliance Officer, the Director will be a key team member responsible for administering, enhancing, and maintaining the Compliance Program for the Charles Schwab & Co Broker-Dealer, also known as CS&Co. CS&Co stands as one of the largest broker-dealers in the country and as such this role will coordinate content and effort with a broad spectrum of associated Compliance programs and partners supporting all registered elements of Schwab. This will then involve on-going communications, project management, and reporting obligations, as well as all other tasks that support the CCO in leading the broker-dealer landscape. There will be particular focus on the regulatory obligations of FINRA 3120 & 3130, as an aspect of their enterprise-wide view of compliance risks.
Key Outcomes
Coordination and project management of initiatives in support of the broker-dealer programDevelopment and facilitation of communication forums and mechanisms in support of the broker-dealer compliance programOwner and author of requisite reporting and presentations, for delivery to Executive and Senior Leadership, to include the PresidentStewardship for the key deliverables and regulatory obligations of the CS&Co broker-dealer compliance programOwnership for the broker-dealer inventory of designated supervisory principalsOwnership for the processes, tools, and infrastructure which support the programDeveloping and executing training and communications strategies to support Compliance colleagues in those tasks required for the programIdentifying and pursuing on-going refinement and evolution of supporting processes and trainingOn-going assessment of control inputs, both internal and external, to ensure they are adequately addressed and capturedCollaborating and coordinating with peers across Schwab Compliance, other Corporate Risk Management colleagues, internal audit, and first line of defense business partnersCarrying out other duties as assigned, including project work, based on business needs and potential coverage gaps What you haveRequired Qualifications:
7-10 years industry experience, with a minimum of 5 years in a Compliance or Risk role.Strong regulatory knowledge of broker-dealer standards.Demonstrated success in project management, with a focus on driving both collaboration and accountability while establishing firm expectations of delivery.Preferred Qualifications:
Series 7 and 24 licenses.Exceptional attention to detail and proven ability to manage multiple initiatives simultaneously.Outstanding communication skills, both written and verbal, with a demonstrated ability to deliver communications that are clear, concise, and impactful in addressing their intended purposeStrong executive presence and excellent interpersonal, relationship building, and change management skills.Strategic thinker who can anticipate the implications and consequences of situations and take appropriate action to be prepared for possible contingencies.Ability to think creatively to adapt to the changing nature of the business units supported and the information required for the role, adapting as circumstances demand.Provides a clear, independent risk management perspective in accordance with the Board-approved risk appetite. Options Apply for this jobApplyShareRefer a friendRefer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed Why work for us?Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.
Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Application FAQs
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