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Your opportunity

We are looking for a Manager to support our dynamic Employee Compliance Team. The Employee Compliance Team covers Registration, Employee Monitoring and Reporting, Compliance Certifications, Personal Account Disclosures, Employee Conflicts Reviews and Gifts and Entertainment policy adherence.

Responsibilities include:

+ Monitor adherence to the Personal Activities and Disclosure Standards.

+ Review disclosures of personal securities accounts, outside business activity requests and private securities transactions and take appropriate action.

+ Perform daily reviews of personnel trading and account activities using our proprietary surveillance tool, vendor systems, statements, and reports.

+ Prepare reports in response to Regulatory and Audit Requests.

+ Prepare MIS for manager, Compliance Partners and Business Leaders.

+ Perform conflict reviews to identify trends and areas of potential risk.

+ Serve as the subject matter expert on the relevant policies and provide compliance advice as needed.

+ Participate in industry calls/meetings/committees with colleagues from peer firms and regulators to ensure awareness of new and changing regulatory requirements to determine impact to firm.

+ Cross train on other areas of Employee Compliance: Employee Monitoring, Registration, Gifts and Entertainment.

What you have

+ BA/BS degree or equivalent experience

+ 5 years professional experience in a broker-dealer business, Supervisory or Compliance experience preferred.

+ Strong working knowledge of securities industry rules and regulations, applicable policies to and ability to distill practical applications of such rules, regulations, and policies.

+ Proven ability to identify and solve complex issues in a team environment working with various levels of management and business partners.

+ Excellent communication skills (verbal and written)

+ Detail oriented with the ability to juggle multiple tasks of varying degrees of urgency and meet deadlines.

+ Prior experience using relevant regulatory systems (e.g., WebCRD, IARD, ORS, NMLS, etc.) is a plus.

+ Strong verbal and written communication skills, with the with the ability to communicate and work with all employee levels, including senior management.

+ Strong analytical and advanced Microsoft Excel skills preferred.

+ Proficiency with Microsoft Excel and PowerPoint

+ Experience with Tableau, Microsoft Excel, and other database management tools such as Microsoft SQL Server preferred.

What’s in it for you

At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

+ 401(k) with company match and Employee stock purchase plan

+ Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions

+ Paid parental leave and family building benefits

+ Tuition reimbursement

+ Health, dental, and vision insurance

What’s in it for you:

At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

401(k) with company match and Employee stock purchase plan

Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions

Paid parental leave and family building benefits

Tuition reimbursement

Health, dental, and vision insurance

Schwab is an affirmative action employer, focused on employing and advancing in employment, qualified women, racial and ethnic minorities, protected 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 [email protected] or call 800-275-1281.