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 that build client trust and safeguard the integrity of the firm. The Manager will join an engaging and dynamic Employee Compliance Team. This role will be responsible for supporting the execution of key components of the Employee Compliance Program including Electronic Communications and Employee Trading Monitoring. This role is an individual contributor role reporting to the Director, Compliance.
Day-to-Day Responsibilities will include:
• Supporting the execution of the electronic communications program including oversight and reporting.
• Evaluating and analyzing employee trading and disclosure activities for possible violation of law, regulation, firm policies or for other irregularities.
• Remaining current on regulatory developments and enterprise-wide policies and procedures needed to conduct monitoring and surveillance effectively.
• Identifying opportunities to enhance and create efficiencies in monitoring and surveillance and support the execution and delivery of key initiatives.
• Developing and cultivating strong partnerships across Compliance, Legal, Corporate Risk Management, and business partners.
Required Qualifications
• Minimum of 5-10 years of compliance, legal and/or regulatory experience.
• BS/BA degree or equivalent work experience.
• Working knowledge of electronic communications requirements, employee trading and Investment Adviser Codes of Ethics SEC rules and guidance.
• Strong analytical, investigative and problem-solving skills.
• Strong communication skills, both written and verbal, with the ability to communicate and work with all employee levels, including senior management.
• Ability to work independently and within a geographically dispersed team.
Why work for us?
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.
We offer a competitive benefits package to our full-time employees 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 Application FAQsSoftware Powered by iCIMS
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