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Senior Manager, Compliance

Charles Schwab
Est. $96,461 - $230,000 / year
Posted Jan 08
Full TimeHybridOrlando, Florida
I'm Interested

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.

Our team is dedicated to covering a variety of compliance functions, including Registration, Employee Trading, Electronic Communications, Compliance Monitoring and Reporting, and Compliance Certifications/Disclosures. As we continue to transform our Employee Compliance Program, we recognize the need to shift more responsibility onto our Compliance team. This includes providing guidance to employees and offering robust support to supervisors.

We are currently 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. It's crucial that the candidate has the ability to identify registration and licensing deficiencies, work to close the gaps.

While the primary focus for this role will be on registration and licensing, we are looking for someone who can also provide guidance to employees on other policies our group covers, including, Personal Account and Disclosures, Electronic Communications, Gifts and Entertainment, and Charitable Sponsorships.

What you have

  • A 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 the difference between Permissive and Required Registration roles.
  • A deep understanding of the regulatory environment, knowledge of securities industry rules and regulations, and comprehensive knowledge of qualification requirements.
  • Ability to perform daily supervisory reviews of Employee Compliance processes and activities.
  • The ability to identify the need for Process/Systems improvements and communicate requirements to IT partners.
  • The ability to develop an understanding of each Schwab business to determine qualification requirements.
  • Effective communication skills, both verbal and written, with an ability to articulate compliance requirements clearly.

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