Charles Schwab Corporation

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Job Locations US-CO-Lone Tree
Legal Services handles legal matters for the Firm. Arbitration & Regulatory Enforcement and the Third Party Actions Group (“TPA”) are specialized teams within Legal Services.
Requisition ID
2020-64505
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/11/2020
Job Locations US-TX-Westlake | US-TX-Austin | US-IL-Chicago
Schwab Compliance is seeking a Director to provide regulatory guidance to its third party platform businesses, with an emphasis on alternative investments (others may include separately managed accounts, mutual funds, ETFs/ETPs, and structured products). The Director will support issues related to custody, valuation, risk management and monitoring, and product platform development and maintenance. This role will be an individual contributor for a team that provides regulatory guidance to business partners on items such as changes to regulatory developments, existing products, and mitigation of issues as they arise.
Requisition ID
2020-64321
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/31/2020
Job Locations US-TX-Westlake
Schwab 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.
Requisition ID
2020-64252
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/31/2020
Job Locations US-TX-Westlake | US-IL-Chicago
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 accomplish this through providing advice and guidance to our business partners regarding the applicability of rules and regulations.   Our Fiduciary and Conflicts of Interest Compliance team is looking for a Senior Manager to support the second line of defense enterprise-wide Conflicts of Interest program. The team works with various areas across the Charles Schwab Corporation, including Advisor Services, Investor Services, Schwab Asset Management Solutions, Compliance, Operational Risk Management, Retirement Plan Services, Banking and Trust Services to provide conflicts of interest and fiduciary advice and guidance.
Requisition ID
2020-63683
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/31/2020
Job Locations US-IL-Chicago | US-AZ-Phoenix | US-TX-Westlake
Looking for a new challenge? We are seeking individuals avaliable to join our Compliance team in Chicago, Westlake TX or Phoenix locations. Compliance is a team dedicated to achieving Schwab's strategic priorities, protecting our customers, employees and the Schwab brand from risk, and advocating for regulatory and legislative reforms to support and expand our business.   The CS&Co Corporate Compliance Program is seeking a Senior Manager to support the Charles Schwab Disclosure Services Group. The position will work closely with compliance and business partners to ensure and assist in following the firm policies and procedures regarding disclosures.  
Requisition ID
2020-63156
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/31/2020

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