Senior Manager, Compliance

Senior Manager, Compliance

Join to apply for the Senior Manager, Compliance role at Charles Schwab
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Your opportunity: at Schwab, you’re empowered to make an impact on your career. Innovative thought meets creative problem solving, helping us challenge the status quo and transform the finance industry together.

Our team covers a variety of compliance functions, including Registration, Employee Trading, Electronic Communications, Compliance Monitoring and Reporting, and Compliance Certifications/Disclosures. We continue to transform our Employee Compliance Program and shift more responsibility onto our Compliance team, providing guidance to employees and support to supervisors.

We are 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. The role requires close collaboration with partners in the business, Human Resources, Legal, Risk, and Supervision. It is crucial that the candidate can identify registration and licensing deficiencies and work to close the gaps.

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

• 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.
• Deep understanding of the regulatory environment, securities industry rules, and 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.

At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration, so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package 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

Mid-Senior level

Full-time

Legal