Senior Manager, Compliance - Electronic Communications Surveillance

Charles Schwab

$108K — $162K *

clock More than 8w ago

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5 - 7 years of experience

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Job Description

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 our Monitoring Program as a Senior Manager. The Senior Manager position will continually evaluate and make recommendations to enhance surveillance, implement new monitoring activities, drive efficiencies to create scale and develop and foster strong partnerships across Compliance, Legal, Corporate Risk Management, and with business partners.

What you are good at:

The Senior Manager will be responsible for assisting the firm in enhancing our enterprise-wide program designed to monitor Electronic Communications. Further, this individual will own the process to detect and remediate potential firm violations through monitoring of electronic communications. Also, the Senior Manager will be responsible for conducting surveillance of certain securities activities relating to Equities, Equity and Index Options, Futures, and Derivatives.

Key Responsibilities:
  • Conduct electronic communication reviews to identify potential violations of Firm policies and escalate and make referrals when appropriate.
  • Evaluate and analyze surveillance results for possible violation of law, regulation, firm policies or for other irregularities, escalating potential issues in accordance with Compliance Standards.
  • Lead projects for key initiatives across the team, including establishing and implementing an Electronic Communication program.
  • Along with the Head of Compliance Monitoring, influence, and challenge to ensure regulatory obligations of programs are effective.
  • Play an instrumental role in continuing to drive efficiencies, align surveillance functions and evolve the Compliance Monitoring Program.
    • Keep current on regulatory developments and enterprise-wide policies and procedures necessary to conduct monitoring and surveillance effectively and adequately.
    • Build constructive relationships with business partners while adhering to the highest ethical standards.
What you have

  • Bachelor's degree required, or equivalent experience
  • Minimum 7+ years' experience in Monitoring and Surveillance as a second line of defense risk management function
  • Proficiency with surveillance and electronic communication monitoring systems
  • Understanding of rules and regulations from the following regulators: OCC, SEC, FINRA, CFTC, NFA, DOL, as well as various State authorities
  • Strong understanding of the role of Compliance and the relationship between Compliance and business


The following qualifications are preferred

Professional licensing and/or compliance certifications (e.g. FINRA Series 7, 66)
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.
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