Senior Manager, Compliance Trade Surveillance

Senior Manager, Compliance Trade Surveillance

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At Schwab, you are 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.

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. We are currently offering the opportunity for a dynamic and engaging compliance professional to join our Compliance Trade Surveillance Team as a Senior Manager, Digital Asset Trade Surveillance.

The Senior Manager will lead digital asset trade surveillance while supporting Trade Surveillance’s overall mission, maintaining and enhancing efficiency, strategy, coverage, and integrity of the overall surveillance outcome. The role will involve setting strategic direction, seeking innovation for enhanced efficiency, challenging existing processes to optimize accuracy, integrity, and timeliness, and capitalizing on the team’s subject‑matter expertise to drive sound dispositions that meet regulatory and organizational expectations.

• 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 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 a data‑driven approach to create efficiency opportunities and implement enhancements to 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 the 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 procedures, documentation, and evidencing are sufficiently updated and stored in accordance with 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, participants, trading venues, and regulatory frameworks.
• Extensive knowledge of various asset classes, particularly 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…