Manager, Compliance
Your Opportunity
Your opportunity
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
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. The Manager will join an engaging and dynamic Employee Compliance Team. This role will be responsible for supporting the execution of key components of the Employee Compliance Program including Electronic Communications and Employee Trading Monitoring. This role is an individual contributor role reporting to the Director, Compliance.
Day-to-Day Responsibilities will include:
• Supporting the execution of the electronic communications program including oversight and reporting.
• Evaluating and analyzing employee trading and disclosure activities for possible violation of law, regulation, firm policies or for other irregularities.
• Remaining current on regulatory developments and enterprise-wide policies and procedures needed to conduct monitoring and surveillance effectively.
• Identifying opportunities to enhance and create efficiencies in monitoring and surveillance and support the execution and delivery of key initiatives.
• Developing and cultivating strong partnerships across Compliance, Legal, Corporate Risk Management, and business partners.
What you have
Required Qualifications
• Minimum of 5-10 years of compliance, legal and/or regulatory experience.
• BS/BA degree or equivalent work experience.
• Working knowledge of electronic communications requirements, employee trading and Investment Adviser Codes of Ethics SEC rules and guidance.
• Strong analytical, investigative and problem-solving skills.
• Strong communication skills, both written and verbal, with the ability to communicate and work with all employee levels, including senior management.
• Ability to work independently and within a geographically dispersed team.
What’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. 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 you are good at
What you have
Required Qualifications
• Minimum of 5-10 years of compliance, legal and/or regulatory experience.
• BS/BA degree or equivalent work experience.
• Working knowledge of electronic communications requirements, employee trading and Investment Adviser Codes of Ethics SEC rules and guidance.
• Strong analytical, investigative and problem-solving skills.
• Strong communication skills, both written and verbal, with the ability to communicate and work with all employee levels, including senior management.
• Ability to work independently and within a geographically dispersed team.
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.
Hear from employees: What’s it like to work at Schwab!
The benefits of working at Schwab : a package designed to empower your health, wealth, career and life. Schwab is committed to building a diverse and inclusive workplace where everyone feels valued.
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.