Charles Schwab Corporation

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Job Locations US-TX-Westlake
The Office of Corporate Governance supports the Boards of Directors and Committees for The Charles Schwab Corporation and subsidiaries. It is responsible for legal and regulatory matters pertaining to public companies and financial services holding companies, as well as the directors and officers thereof. As the Senior Specialist, you will provide organizational and logistical support for meetings of the Board of Directors and Committees of The Charles Schwab Corporation. You will also assist with various projects as required in the Office of Corporate Governance. The position requires utmost attention to detail to ensure that the support processes you coordinate are of high quality and run smoothly, accurately and efficiently.
Requisition ID
2021-69057
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
4/30/2021
Job Locations US-TX-Westlake | US-TX-Austin | US-AZ-Phoenix
The Compliance Risk Assessment Senior Manager leads the planning and execution of the Compliance Department’s efforts to identify, evaluate, rate, and report regulatory risk. The Senior Compliance Manager, in this role, is responsible for independently leading Compliance Risk Assessments related to the firm’s institutional advisory and fund businesses. The Senior Compliance Manager: Institutional Advisory Risk Assessments will supervise, assess, and report on changes regarding the levels of compliance risk as emphasized primarily by the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Compliance Risk Assessments will help Compliance to prioritize and focus Compliance and business resources towards focused attention as well as remediation of identified weaknesses, conduct Testing and Monitoring, and provide regulatory training.
Requisition ID
2021-68946
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
4/30/2021
Job Locations US-TX-Westlake | US-TX-Austin | US-AZ-Phoenix
The Compliance Risk Assessment Senior Manager is responsible for executing and handling Compliance Risk Assessments to resolve areas that present the most significant compliance risk to the legal entities within Banking and Trust Services (BTS). The Compliance Risk Assessment Senior Manager will supervise, assess, and report on changes regarding the levels of compliance risk as emphasized by the Federal Reserve System, the Consumer Financial Protection Bureau, State of Delaware, State of Nevada, and the Federal Deposit Insurance Corporation. Compliance Risk Assessments will help Compliance to prioritize and focus Compliance resources towards remediation of identified weaknesses, conduct Testing and Monitoring, and provide regulatory training.
Requisition ID
2021-68925
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
4/30/2021
Job Locations US-TX-Westlake | US-TX-Austin
The asset management organizations at Schwab were recently brought together in an enterprise called Schwab Asset Management Solutions (SAMS). SAMS includes three advisers: Charles Schwab Investment Management, Inc. (CSIM), Charles Schwab Investment Advisory, Inc. (CSIA) and Schwab Private Client Investment Advisory Inc. (SPCIA), in addition to sales, research and related support functions.   The Director, SAMS Compliance Team (Director, SAMS Compliance) will be expected to assist the Chief Compliance Officer and Deputy Chief Compliance Officer in developing, maintaining and administering the Compliance Programs for CSIM, CSIA and SPCIA under Rule 206(4)-7, as well as for the Schwab Funds, Laudus Funds and Schwab ETFs under Rule 38(a)-1.
Requisition ID
2021-68912
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
4/30/2021
Job Locations US-TX-Westlake | US-IL-Chicago | US-AZ-Phoenix | US-NV-Henderson
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 the team, as a Senior Manager, responsible for conducting risk-based compliance testing. The Senior Manager is an individual contributor and will conduct testing to evaluate the effectiveness and adequacy of certain internal controls, policies, procedures and systems crafted to achieve and/or supervise compliance with applicable regulatory requirements. The Senior Manager is encouraged to make recommendations to improve and refine the testing program and will remain current on regulatory developments, enterprise wide policies and procedures, as well as develop and cultivate positive relationships across Compliance, Legal, Corporate Risk Management, and with business partners.
Requisition ID
2021-68607
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
4/30/2021
Job Locations US-TX-Westlake
The Charles Schwab Legal Department is looking for skilled, hard-working, and friendly individuals to join the team. The Third Party Legal Process (“TPLP”) group has primary responsibility for legal matters where The Charles Schwab Corporation or its subsidiaries (“Schwab”) are involved as a third party. For example, TPLP handles court orders, garnishments, subpoenas, and tax and child support levies. TPLP also assists the Estates Risk team and various operations centers with legal escalations and supports the Client Advocacy Team with the resolution of client complaints.    TPLP is an energetic, efficient, and engaged team. We are looking for a Manager who will be responsible for processing legal matters in a timely manner, fielding escalations, forming relationships with other groups, and leading by example. The Manager will also be responsible for working with other TPLP team members to execute our business goals and ensure items handled by the team are processed in an appropriate and timely manner. 
Requisition ID
2021-68568
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
4/30/2021
Job Locations US-TX-Westlake
The Charles Schwab Legal Department is looking for skilled, hard-working, and friendly individuals to join the team. The Third Party Legal Process (“TPLP”) group has primary responsibility for legal matters where The Charles Schwab Corporation or its subsidiaries (“Schwab”) are involved as a third party. For example, TPLP handles court orders, garnishments, subpoenas, and tax and child support levies. TPLP also assists the Estates Risk team and various operations centers with legal escalations and supports the Client Advocacy Team with the resolution of client complaints.    TPLP is an energetic, efficient, and engaged team. We are looking for a Manager who will be responsible for processing legal matters in a timely manner, fielding escalations, forming relationships with other groups, and leading by example. The Manager will also be responsible for working with other TPLP team members to execute our business goals and ensure items handled by the team are processed in an appropriate and timely manner. 
Requisition ID
2021-68567
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
4/30/2021
Job Locations US-TX-Southlake
The Charles Schwab Legal Department is looking for skilled, hard-working, and friendly individuals to join the team. The Third Party Legal Process (“TPLP”) group has primary responsibility for legal matters where The Charles Schwab Corporation or its subsidiaries (“Schwab”) are involved as a third party. For example, TPLP handles court orders, garnishments, subpoenas, and tax and child support levies. TPLP also assists the Estates Risk team and various operations centers with legal escalations and supports the Client Advocacy Team with the resolution of client complaints.    TPLP is an energetic, efficient, and engaged team. We are looking for a Manager who will be responsible for processing legal matters in a timely manner, fielding escalations, forming relationships with other groups, and leading by example. The Manager will also be responsible for working with other TPLP team members to execute our business goals and ensure items handled by the team are processed in an appropriate and timely manner. 
Requisition ID
2021-68566
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
4/30/2021
Job Locations US-TX-Southlake
The Charles Schwab Legal Department is looking for skilled, hard-working, and friendly individuals to join the team. The Third Party Legal Process (“TPLP”) group has primary responsibility for legal matters where The Charles Schwab Corporation or its subsidiaries (“Schwab”) are involved as a third party. For example, TPLP handles court orders, garnishments, subpoenas, and tax and child support levies. TPLP also assists the Estates Risk team and various operations centers with legal escalations and supports the Client Advocacy Team with the resolution of client complaints.    TPLP is an energetic, efficient, and engaged team. We are looking for a Manager who will be responsible for processing legal matters in a timely manner, fielding escalations, forming relationships with other groups, and leading by example. The Manager will also be responsible for working with other TPLP team members to execute our business goals and ensure items handled by the team are processed in an appropriate and timely manner. 
Requisition ID
2021-68565
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
4/30/2021
Job Locations US-TX-Westlake | US-TX-Austin | US-AZ-Phoenix
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 the team, as a Senior Manager, responsible for conducting risk-based compliance testing. The Senior Manager is an individual contributor and will conduct testing to evaluate the effectiveness and adequacy of certain internal controls, policies, procedures and systems designed to achieve and/or supervise compliance with applicable regulatory requirements. The Senior Manager is expected to make recommendations to enhance and refine the testing program and will remain current on regulatory developments, enterprise wide policies and procedures, as well as develop and cultivate strong partnerships across Compliance, Legal, Corporate Risk Management, and with business partners.
Requisition ID
2021-68490
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
4/30/2021
Job Locations US-TX-Westlake | US-TX-Austin | US-AZ-Phoenix
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 the team, as a Manager, responsible for conducting risk-based compliance testing as well as testing design and effectiveness of controls across the Firm’s 2LOD Risk and Control Self-Assessments (RCSAs). The Manager is an individual contributor and will conduct testing to evaluate the effectiveness and adequacy of certain internal controls, policies, procedures, and systems designed to achieve and/or supervise compliance with applicable regulatory requirements. The Manager will remain current on regulatory developments, enterprise wide policies and procedures, as well as develop and cultivate strong partnerships across Compliance, Legal, Corporate Risk Management, and with business partners.
Requisition ID
2021-68489
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
4/30/2021
Job Locations US-IL-Chicago | US-TX-Austin | US-TX-Westlake
The Futures Compliance Team in Corporate Risk Management supervises all aspects of compliance for Schwab’s futures, forex and virtual currency business, including risk assessments, policies and procedures, training, senior management reporting, Audit and Regulatory exams, testing and managing actions stemming from findings, observations or self-identified issues.
Requisition ID
2021-68364
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
4/30/2021
Job Locations US-NV-Henderson
We are recruiting for a newly-created, mission-critical Director, Senior Corporate Trust Counsel, with demonstrated legal proficiency in trust and estate matters and capable of assisting with the growth and operation of the varied businesses of several Schwab trust affiliates. The Charles Schwab Trust Company is a rapidly growing Nevada trust company that provides a full service trust offering providing for administration and investment of trust assets that supports and compliments our broader retail branch network and Investor Services organization. Charles Schwab Trust Company of Delaware serves as administrative trustee for trusts whose investments are independently handled by third party independent investment advisory firms.
Requisition ID
2021-68109
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
5/1/2021

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