Charles Schwab Corporation

Senior Compliance Manager- Digital Services

Job Locations US-TX-Westlake | US-TX-Austin | US-AZ-Phoenix | US-IL-Chicago
Requisition ID
2021-72927
Posted Date
2 months ago(8/2/2021 5:24 PM)
Category
Legal & Compliance
Position Type
Full time

Your Opportunity

As the company’s second line of defense, Compliance helps our first line Business Partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the Firm. We accomplish this through providing advice and guidance to our business partners regarding the applicability of rules and regulations; advice on policies, procedures and controls; reviewing User Stories in Jira; reviewing advertising and communications with the public; and employing a variety of technologies and analytics.

 

The Senior Manager, Digital and Communications Compliance position is within Corporate Compliance and is focused on providing compliance-based advice and guidance to the Firm’s Digital Services teams. The Senior Manager will work closely with business partners within the Digital Services teams to ensure that enhancements and innovations across a wide range of products and services align with the Firm’s stated policies and procedures and applicable regulatory requirements. The Senior Manager will be involved in all aspects of the Firm’s digital innovation journey -- from idea inception to development to production implementation – and will interact with peers and leadership across a range of business units. The Senior Manager will also collaborate with other Compliance partners, Corporate Risk Management, Legal, business peers and SMEs to build strong relationships and identify and mitigate risks, while helping ensure compliance.

What you are good at

  • Providing ongoing compliance expertise, advice and guidance to Digital Services’ teams across a wide range of enhancements and innovations, providing significant impact to the Firm’s products and services.
  • Working on design and development of products and services that are constantly improving the client experience through innovations that benefit clients and help reduce risk to the firm.
  • Running multiple tasks simultaneously within project target dates in a dynamic environment
  • Using influence, relationship and insight skills to explain the reasons behind regulations and the guidance provided.
  • Building and maintaining positive relationships across all leadership levels
  • Reviewing content with a strong attention to details and a critical eye
  • Providing independent, effective challenge to the business
  • Collaborating with business partners, SME’s, Corporate Risk Management and Legal, to help ensure compliance with applicable policies, procedures and regulatory requirements.
  • Identifying potential gaps and issues and proposing solutions to address and mitigate potential compliance risk.
  • Reporting on compliance and risk management as it relates to platform developments and project innovations
  • Balancing regulatory and policy standards with a business perspective

Other information

  • The workday will entail substantial collaboration and close active engagement with the Digital Services teams as they develop, implement and improve innovations
  • This is an individual contributor role. Work schedule is typical business hours M-F.
  • Hybrid-remote work environment
  • When business travel is permissible again, it could be less than 5% per year for this position

What you have

  • Bachelor’s Degree
  • 5+ years’ experience in broker-dealer compliance
  • FINRA Licenses Series 7, 24 (or 9/10) strongly preferred or acquired within 90 days
  • Experience with product design and development preferred
  • Project/program management and/or experience in business side administration of financial services tools a plus

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Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.

 

Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further. 

 

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal 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 the policy.

 

Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at applicantaccessibility@schwab.com or call 800-275-1281.

 

TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.