Charles Schwab

Manager, Regulatory Complaint Response and Monitoring

Charles Schwab • $100K — $120K *
Southlake, TX 76092In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's degree or equivalent experience
  • Series 7 license
  • 5+ years in Compliance, Risk Management, Supervision, Complaint Management, or similar role
  • Strong understanding of client complaint handling and regulatory requirements
  • Ability to influence stakeholders and communicate effectively
  • Demonstrated analytical and problem-solving skills

Responsibilities

  • Support complaint oversight and regulatory response activities
  • Monitor programs to identify emerging risks
  • Analyze complaint trends and assess adherence to management standards
  • Support regulatory inquiries and compliance measures
  • Implement process improvements for enhanced efficiency
  • Translate data into meaningful insights for compliance culture
  • Collaborate with business partners and leadership on compliance initiatives

Benefits

  • Work in a department committed to integrity and regulatory excellence
  • Opportunity to drive impact on client experience through compliance measures
  • Engagement in a dynamic and fast-paced work environment
  • Collaborative work culture with cross-functional teams
  • Potential for professional growth and development within the company
Full Job Description

The Compliance Department plays a critical role in supporting Schwab’s commitment to integrity, risk management, and regulatory excellence. As a Compliance Manager supporting the Complaints Risk Management team, you will help strengthen complaint oversight, regulatory response activities, and monitoring programs that identify emerging risks across products, services, and business processes.

 

This role combines analytical thinking, regulatory expertise, and cross-functional collaboration to drive timely issue identification, data quality, reporting accuracy, and risk mitigation. Working closely with business partners, compliance stakeholders, and leadership, you will analyze complaint trends, assess adherence to complaint management standards, support regulatory inquiries, and help implement process improvements that enhance efficiency and controls. Your ability to solve complex problems, influence outcomes, and translate data into meaningful insights will directly support Schwab’s commitment to delivering positive client experiences while maintaining a strong compliance culture.

What you have

Required Qualifications:

  • Bachelor's degree or equivalent experience.

  • Series 7 license.

  • 5+ years of experience in Compliance, Risk Management, Supervision, Complaint Management, Regulatory Relations, or a related control function.

  • Strong understanding of client complaint handling, escalation, documentation, and regulatory reporting requirements.

  • Ability to influence stakeholders and communicate effectively across all levels of the organization.

  • Demonstrated analytical, problem-solving, and investigative skills.

Preferred Qualifications:

  • Series 9/10 license.

  • Working knowledge of consumer protection and consumer financial services laws and regulations including but not limited to the Equal Credit Opportunity Act (Regulation B), Fair Credit Reporting Act, Unfair Deceptive and Abusive Acts or Practices, Servicemembers Civil Relief Act (SCRA), Electronic Funds Transfer Act (Regulation E) and privacy.

  • Working knowledge and understanding of FINRA and SEC rules and guidance, particularly related to complaints and the product and problem codes used to identify potential compliance issues coming from complaints.

  • Strong analytical, investigative and problem-solving skills.

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

  • Ability to handle multiple conflicting priorities in a fast-paced environment.

  • Curious and innovative with proven ability to independently identify opportunities for improvement and execute enhancements.

  • Proficient in the use of Microsoft Office including Word and PowerPoint and SharePoint. 

You demonstrate these behaviors:

  • Analytical Thinking: Approaching a problem by using a logical, systematic, sequential approach.

  • Building Collaborative Relationships: The ability to develop, maintain, and strengthen partnerships with others inside or outside of the organization who can provide information, assistance, and support.

  • Thinking Broadly: Understanding how risks and solutions may impact all business units and functions across CSC.

About Charles Schwab

Charles Schwab is a financial services company that provides a full range of securities, brokerage, banking, money management, financial advisory, investor, and retirement plan services. It operates in four main divisions; investing, wealth management, banking, and trading. Charles Schwab provides a full-service brokerage platform that serves individual investors who invest on their own or through a workplace-sponsored retirement or equity plan, as well as banking through Schwab Bank. The firm was founded in 1973 and is headquartered in San Francisco, California.

Charles Schwab Careers

Join the vibrant team at Charles Schwab, a leader in global finance, where your career is propelled by innovation, leadership, and a commitment to diversity and professional growth. At Charles Schwab, we offer more than just job opportunities; we provide a platform for you to make a significant impact on the industry and our clients' lives.

Work You’ll Do

At Charles Schwab, we are dedicated to helping our clients manage their financial futures. Being part of our team means you'll work alongside some of the most skilled professionals in the financial services industry. Our culture thrives on teamwork, integrity, and relentless dedication to our clients. Whether you're looking for a position in financial consulting, technology, or administrative support, Charles Schwab offers a dynamic work environment where your skills will be honed and your achievements recognized.

Innovate and Lead

Embrace the opportunity to lead through innovation. Charles Schwab’s commitment to technology and innovation is fundamental to our service delivery. By joining our team, you will be at the forefront of developing new solutions that redefine the future of finance. Your leadership can guide significant projects that impact our company and the industry.

Grow Your Career

Charles Schwab believes in fostering the growth of its employees. Whether through professional development programs, diversity training, or leadership workshops, we ensure that our team members receive the support and training they need to advance their careers. With a variety of career paths available, your job at Schwab can evolve with your interests and expertise.

Internship and Employment Opportunities

Start your professional journey with Charles Schwab through our internship programs or full-time employment opportunities. We seek individuals who are passionate, curious, and ready to drive change. A career at Schwab is not just about having a job; it's about building a lasting relationship with a company that values your potential.

Benefits and Culture

Charles Schwab is renowned for its employee-friendly culture. We offer a comprehensive benefits package that supports the health, financial stability, and work-life balance of our team members. From competitive salaries and bonuses to health insurance and retirement plans, Schwab ensures that your career is as rewarding as it is enriching.

Networking and Professional Development

Expand your professional network and enhance your skills through our various networking events, mentorship programs, and training sessions. At Charles Schwab, we believe in leveraging collective expertise to foster learning and innovation. Engage with leaders, gain insights from experienced professionals, and build relationships that will aid your career trajectory.

Join Our Team

Explore the numerous career paths available at Charles Schwab and discover how your talents can be utilized to their fullest potential. Search open positions that match your skills and interests. We are continuously hiring across various disciplines and look forward to adding innovative, driven individuals to our team.

Stay Connected

Keep up to date with the latest from Charles Schwab Careers by subscribing to our job alert emails. Tailor your subscription to receive updates that align with your career preferences and be the first to know about new openings, company news, and professional tips.

Explore Charles Schwab Jobs

Ready to take the next step in your career? Visit our careers page to review current job openings, submit your resume, and prepare for your interview. At Charles Schwab, your future is waiting. [SEARCH CHARLES SCHWAB JOBS] Join Charles Schwab today and be part of a team that values diversity, innovation, and leadership—where your career can thrive in the exciting world of finance.
Learn more about Charles Schwab
Size
34,200 employees
Market Cap
$151.6 billion
Industry
Finance & Insurance
Net Income
$3.2 billion
Founded
1973
5 Year Trend
+20%
Revenue
$12.1 billion
NASDAQ
SCHW
* Ladders Estimates

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