Senior Manager, Compliance Risk Testing
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. We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join the team, as a Senior Manager, responsible for conducting retail and independent branch office 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 monitor 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 foster strong partnerships across Compliance, Legal, Corporate Risk Management, and with business partners.
What you have
Required Qualifications:
Minimum of 8 years of experience within financial services
5-8 years of experience in a Regulatory Testing/Examiner/Audit role
Understanding of FRB, SEC, FINRA, OCC, NFA, Privacy and Anti-Money Laundering rules and regulations
Travel: Must be able to travel 20% - 25% during the course of the year (roughly one week a month)
Preferred Qualifications:
Bachelor’s degree or equivalent experience
Understanding and experience with Microsoft suite of applications (Word, Excel, PowerPoint)
Professional licensing and/or compliance certifications (e.g., FINRA Series 7, 66, Investment Adviser Representative, CRCP and CAMS)
General understanding of financial holding company, bank, broker-dealer, and investment advisory businesses, as well as testing standards/methodologies
Familiarity with the execution of Second Line of Defense compliance testing including compliance risk management principles
Excellent attention to detail
The ability to work independently, take ownership, be accountable
Strong written and verbal communication skills
Sound organization and prioritization skills
Results oriented
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 8 years of experience within financial services
5-8 years of experience in a Regulatory Testing/Examiner/Audit role
Understanding of FRB, SEC, FINRA, OCC, NFA, Privacy and Anti-Money Laundering rules and regulations
Travel: Must be able to travel 20% - 25% during the course of the year (roughly one week a month)
Preferred Qualifications:
Bachelor’s degree or equivalent experience
Understanding and experience with Microsoft suite of applications (Word, Excel, PowerPoint)
Professional licensing and/or compliance certifications (e.g., FINRA Series 7, 66, Investment Adviser Representative, CRCP and CAMS)
General understanding of financial holding company, bank, broker-dealer, and investment advisory businesses, as well as testing standards/methodologies
Familiarity with the execution of Second Line of Defense compliance testing including compliance risk management principles
Excellent attention to detail
The ability to work independently, take ownership, be accountable
Strong written and verbal communication skills
Sound organization and prioritization skills
Results oriented
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.