Senior Manager, Compliance Trade Surveillance

Senior Manager, Digital Asset Trade Surveillance

At Schwab, you are 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.

The Senior Manager will lead digital asset trade surveillance while supporting the Trade Surveillance overall mission and maintain and enhance efficiency, strategy, coverage, and integrity of the overall surveillance outcome while seeking innovation and challenging the status quo. The successful candidate will, among others:

• Perform trade surveillance monitoring for possible violation of applicable regulations and firm policies, resolving or escalating potential issues in accordance with Corporate Compliance Standards.
• Perform trade surveillance in digital asset trading as well as other asset classes to support the overall team success.
• Build constructive relationships with business partners while adhering to the highest ethical standards.
• Demonstrate strong analytical and strategic skills to appropriately assess, challenge, and influence business partners.
• Stay current and mentor teammates to keep up with the industry trends and regulatory landscape changes that impact surveillance coverage and scope.
• Proactively identify patterns or trends that may emerge in surveillance reviews.
• Identify and implement innovation, modernization, and data‑driven approach to identify efficiency creation opportunities and implement enhancements to the day‑to‑day processes.
• Support Director with mission and shaping of the team’s overall achievements.
• Escalate identified issues in a timely fashion and evaluate impact of the issues and remedial actions to internal and external constituents.
• Ensure comprehensive reviews are conducted and issues are addressed in a timely fashion.
• Ensure procedure(s), documentation, and evidencing are sufficiently updated and stored in accordance with the applicable policies and procedures.

• Minimum of 8 years of experience within financial services with a general understanding of broker‑dealer, financial holding company, bank, and investment advisory businesses
• 5 years of experience in a market surveillance, trade surveillance, or trading‑related role, including surveillance of trading in cryptocurrencies and digital assets
• Extensive knowledge of cryptocurrency and digital asset trading, including trading structure, price movements, and the broader ecosystem structure, including participants, trading venues, and regulatory frameworks.
• Extensive knowledge of various asset classes, particularly of trading in equities, equity options, fixed income, futures and futures derivatives and ability to perform trade surveillance on such asset classes
• Understanding of SEC, FINRA, CFTC, NFA, Anti‑Money Laundering rules and regulations
• Understanding and experience with Microsoft suite of applications (Word, Excel, Power Point)
• Proficiency in data‑driven reports and usage, including Tableau and Power Apps

• Bachelor’s degree or equivalent experience
• Familiarity with the execution of Second Line of Defense compliance responsibilities and compliance risk management principles
• Ability to independently identify opportunities for improvement and enhance overall Compliance programs
• Sound judgment to influence a strong risk management culture across business practices
• Strong analytical and strategic thinking skills
• Excellent attention to detail and the ability to work independently
• Mastery of appropriate interpersonal styles and ability to communicate effectively, both orally and in writing, with all levels within the enterprise
• Strong time management, organization, and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail
• Professional licensing and/or compliance certifications (e.g. FINRA Series 7, 24, Investment Adviser Representative, CRCP and CAMS)
• The ability to develop, maintain, and strengthen partnerships and work collaboratively with others inside or outside of the organization
• Flexibility and openness to different and new ways and processes

• 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

Location:

Winter Park, FL

Salary: $ - $

Seniority level:
Mid‑Senior level

Employment type:

Full‑time

Job function:
Legal