Senior Manager, Compliance

Senior Manager, Compliance – Charles Schwab – Scottsdale, AZ Salary: $123,500.00 – $212,850.00 Overview 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. The Compliance team covers a variety of functions, including Registration, Employee Trading, Electronic Communications, Compliance Monitoring and Reporting, and Compliance Certifications/Disclosures. As we transform our Employee Compliance Program, we recognize the need to shift more responsibility onto our Compliance team, providing guidance to employees and robust support to supervisors. We are seeking a seasoned Compliance Professional with deep expertise in registration and licensing requirements, including FINRA, SRO, States, Banking (MLO/NMLS) NFA, and Investment Advisor requirements. The ideal candidate should possess extensive knowledge of FINRA Rules 1210, 1220, and 3110. This role requires close collaboration with partners in the business, Human Resources, Legal, Risk, and Supervision to identify registration and licensing deficiencies and close the gaps. While the primary focus is on registration and licensing, we also look for someone who can provide guidance to employees on other policies our group covers, such as Personal Account and Disclosures, Electronic Communications, Gifts and Entertainment, and Charitable Sponsorships. Qualifications Bachelor’s degree is preferred. Extensive experience with WebCRD, FINRA Gateway, and NFA ORS. Advanced Excel, Tableau, SQL. 5‑10 years of professional experience in the financial services industry, including direct experience in Securities, Futures, and MLO Registration (FINRA, NFA, NMLS). Ability to distinguish between Permissive and Required Registration roles. Deep understanding of the regulatory environment, securities industry rules and regulations, and qualification requirements. Ability to perform daily supervisory reviews of Employee Compliance processes and activities. Ability to identify the need for Process/Systems improvements and communicate requirements to IT partners. Ability to develop an understanding of each Schwab business to determine qualification requirements. Effective verbal and written communication skills with the ability to articulate compliance requirements clearly. Benefits 401(k) with company match and Employee stock purchase plan Paid time for vacation, volunteering, and a 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 Seniority Level Mid‑Senior level Employment Type Full‑time Job Function Legal #J-18808-Ljbffr Charles Schwab