Manager, Compliance
Your Opportunity
Your opportunity
At Schwab, you are 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.
We are looking for a Compliance Officer to join our dynamic Employee Compliance Team. The Employee Compliance Team covers Registration, Employee Monitoring and Reporting, Compliance Certifications, Personal Activity Disclosures, Personal Account Disclosures, Employee Conflicts Reviews, and Electronic Communications.
This position is an individual contributor role reporting directly to a Senior Manager in Compliance. This individual will play a key role in monitoring employees’ adherence to Compliance policies/standards including the Personal Activities and Disclosures Standards and Electronic Communications Standards. The position requires a deep understanding of FINRA rules 1010, 3270, 3280, and 3110(e), and the individual must be able to spot potential conflicts of interest and address accordingly.
The role will include daily reviews and actioning of personal disclosures including making escalation decisions, determining reportability, making requisite filings, monitoring completion of requirements, addressing policy violations and reporting of same. The individual in this position must have the judgment and ability to collaborate with employees, Regulators, Legal, HR, Business and Conduct Risk Management partners on sensitive matters.
What you have
Preferred Qualifications
Bachelor’s Degree
5-10 years’ professional experience in the financial services industry with Compliance, Licensing & Registration, or Supervisory experience
SIE & S7TO Securities Licenses
Prior experience using regulatory systems such as FINRA Gateway, WebCRD, IARD, ORS, and NMLS
Deep understanding of regulatory environments and working knowledge of securities industry rules and regulations
Experience filing Form U4 disclosure amendments and understanding of Form U4 disclosure requirements
Knowledge in Personal Securities Accounts and Private Securities.
Advanced Microsoft Excel Skills
Experience with Tableau, and other database management tools such as Microsoft SQL Server
Effective communication skills both verbal and written with an ability to articulate compliance requirements
Detail oriented with the ability to manage multiple tasks at any one time
Commitment to integrity and high ethical standards.
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
Preferred Qualifications
Bachelor’s Degree
5-10 years’ professional experience in the financial services industry with Compliance, Licensing & Registration, or Supervisory experience
SIE & S7TO Securities Licenses
Prior experience using regulatory systems such as FINRA Gateway, WebCRD, IARD, ORS, and NMLS
Deep understanding of regulatory environments and working knowledge of securities industry rules and regulations
Experience filing Form U4 disclosure amendments and understanding of Form U4 disclosure requirements
Knowledge in Personal Securities Accounts and Private Securities.
Advanced Microsoft Excel Skills
Experience with Tableau, and other database management tools such as Microsoft SQL Server
Effective communication skills both verbal and written with an ability to articulate compliance requirements
Detail oriented with the ability to manage multiple tasks at any one time
Commitment to integrity and high ethical standards.
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.