Charles Schwab Corporation

Compliance Director: Regulatory Exams

Job Locations US-CA-San Francisco | US-TX-Westlake
Requisition ID
2020-62072
Posted Date
2 months ago(3/27/2020 3:50 PM)
Category
Legal & Compliance
Position Type
Full time

Your Opportunity

The Compliance Regulatory Group (CREG): CREG provides leadership, advice and guidance to Compliance and business partners on the applicability of industry rules and regulations; responds to regulatory inquiries forwarded to Schwab by regulators; and leads examinations by banking and securities regulators.

What you’re good at

  • Coordinate and handle securities regulatory examinations in concert with the CREG Managing Director. In particular, responsibility for leading Financial Operations examinations of CS&Co. Inc, the Broker/Dealer.
  • Direct communication with regulators including handling and tracking requests for information and facilitating meetings and interviews of firm personnel.
  • Reviewing exam responses for relevance and completeness, and preparing personnel for interviews by the regulators.
  • Preparation of reports to management on the status of exams and any exceptions, issues or concerns raised by regulators during the course of the exam.
  • Work with the Compliance subject matter authorities and business partners to respond to exam reports and remediate exceptions.

What you have

  • Bachelor’s degree required, with a minimum 10 years relevant experience in a Broker/Dealer or regulatory agency or comparable experience. A JD is not required, but would be preferred.
  • Knowledge of internal processes, practices, and proceedings at SEC/FINRA, in particular conducting Financial Operations examinations.
  • Strong analytical skills, excellent attention to detail, and the ability to interpret regulations and regulatory guidance.
  • Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization.
  • Knowledge of securities industry practices; SEA ’33 and ’34 Rules and Regulations, SEC Rule 15c3-1, 17a-3, 17a-4, SEC Customer Protection rules and relevant FINRA rules.
  • Series 27 license a plus.

You demonstrate these behaviors:

  • Outstanding judgment as well as a broad understanding of the potential implications of actions and decisions.
  • Act conclusively in making solid, informed judgment calls in response to both the regulatory environment and the day-to-day business issues, with appropriate advancement where needed.
  • Work reciprocally with various groups with potentially disparate objectives.
  • Standout colleague willing to cross-train and assist with CREG activities beyond examinations.
  • Ability to effectively balance multiple conflicting priorities with associated deadlines.

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Why 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.

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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. (Please click here to see policy.)

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.