Senior Manager, Compliance – Broker-Dealer Program Lead
About The Position
The Senior Manager, Compliance – Broker-Dealer Program Lead will help shape and strengthen the compliance program for Charles Schwab & Co., Inc. (CS&Co), with a particular focus on FINRA Rules 3120 and 3130. The role leads work supporting key broker-dealer obligations, enhances the program’s supporting infrastructure, and provides senior and executive leaders with clear perspectives on compliance risk. It helps the firm anticipate evolving expectations, strengthen controls, and make informed decisions while serving clients with integrity. The position offers broad exposure to Schwab’s business and risk functions and involves collaboration across multiple lines of defense. The role is suited to a compliance professional who can solve complex problems, influence at senior levels, and translate regulatory expectations into sustainable business practices. The selected candidate is expected to work on site in one of the specified locations.
Requirements
- 7 or more years of financial services industry experience, including at least five years in a Compliance or Risk role.
- Working knowledge of broker-dealer regulatory standards.
- Experience leading projects or cross-functional initiatives with defined deliverables, stakeholders, and accountability.
- Experience managing multiple concurrent initiatives and deadlines.
- Experience creating written communications, reports, or presentations for business or leadership audiences.
- Experience working with cross-functional partners to implement process, control, or organizational change.
- Experience evaluating compliance or risk issues and providing an independent risk management perspective.
Nice To Haves
- FINRA Series 7 license.
- FINRA Series 24 license.
- Knowledge of FINRA Rules 3120 and 3130.
- Experience supporting a broker-dealer compliance program.
- Experience preparing compliance or risk reporting for senior or executive leadership.
- Experience developing compliance training or communication strategies.
- Experience partnering with Corporate Risk Management, Internal Audit, or first-line business teams.
- Experience improving compliance processes, controls, tools, or supporting infrastructure.
Responsibilities
- Lead critical deliverables associated with Schwab’s broker-dealer compliance program and applicable regulatory obligations.
- Develop reporting and presentations for senior and executive leadership.
- Guide governance of designated supervisory principal information and related program requirements.
- Strengthen the processes, tools, controls, and infrastructure supporting the program.
- Create training and communication strategies to help Compliance colleagues understand and fulfill program responsibilities.
- Identify opportunities to modernize the program, improve effectiveness, and respond to changing business and regulatory needs.
- Evaluate internal and external control inputs to help ensure compliance risks are appropriately identified and addressed.
- Build partnerships across Schwab Compliance, Corporate Risk Management, Internal Audit, and first-line business teams.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
