Vacancy expired!
Your OpportunitySchwab Compliance is seeking a Senior Manager to support the Advisor Services Enterprise. Advisor Services provides custodial and trading services to Registered Independent Advisors (RIAs). This team provides regulatory guidance to Advisor Services business partners on items such as changes to regulatory developments, existing products, and mitigation of issues as they arise. This role will be an individual contributor reporting to the Managing Director of Advisor Services Compliance.What you are good atThe successful candidate will provide regulatory guidance to business and internal partners related to Schwab’s advisor platform offerings.Day to day responsibilities will include:
Actively participating in various committees and effectively challenging business partners when appropriate
Performing regulatory analysis of developments affecting retail product offerings
Coordinating with the Corporate Compliance group relating to various reporting responsibilities
Coordinating with the Global Compliance Testing Program, including reviewing test plans
Assisting in creating and maintaining Compliance policies and procedures
Participating in the annual Compliance Risk Assessment process in accordance with corporate standards
What you have
5 plus years financial regulatory industry experience, preferably at a broker-dealer or investment adviser
5-7 years in a compliance, control, or risk management role
Experience supporting custodial platforms for independent investment advisors a plus
Excellent knowledge of and practical experience with SEC and FINRA Rules
Up to date knowledge of recent regulatory developments, including familiarity with initiatives related to senior and vulnerable investors
Strong project management skills and the ability to organize & process large amounts of data/information
Excellent oral and written communication skills with the ability to influence, partner and collaborate with various groups, including senior business management
Proven experience working independently and prioritizing multiple projects based on regulatory risk and business needs;
FINRA Series 7, 63, and 24 licenses preferred
Bachelor’s degree or equivalent industry business experience
Proficiency in Microsoft Office Programs (Word, PowerPoint, and Excel) required. Proficiency in SharePoint preferred
Apply for this jobRefer a friendWhy Schwab?At Schwab, “Own Your Tomorrow” embodies everything we do! We are committed to helping our employees unleash their potential and achieve their dreams. Our employees get to play a central role in disrupting a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. We’re a modern financial services firm that stands apart from the industry, where you can go as far as your ambition takes you.Hear from employees:: a package designed to empower your health, wealth, career and life.Schwab is committed to building a diverse and inclusive workplace where everyone feels valued.As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law.Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace.We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.Job Locations US-TX-WestlakeRequisition ID 2020-64252Posted Date 2 minutes ago (7/16/2020 9:56 PM)Category Legal & CompliancePosition Type Full time
Vacancy expired!