Senior Manager, Compliance Risk Assessment

Charles Schwab • Southlake, TX

421d • $87,800 - $195,200

About The Position

The Compliance Risk Assessment Senior Manager at Schwab plays a crucial role in managing and executing Compliance Risk Assessments to identify and mitigate compliance risks associated with investment advisers. This position involves preparing risk assessment reports, collaborating with subject matter experts, and presenting findings to key stakeholders, ensuring adherence to regulatory standards and promoting client trust.

Requirements

• BS/BA degree or equivalent work experience in regulatory compliance matters impacting investment advisers.
• 5+ years of compliance experience.
• Strong knowledge of regulatory expectations and ability to interpret regulatory guidance.
• Excellent presentation and communication skills.
• Ability to think critically about Compliance Risk Assessments inputs and results.
• Ability to work collaboratively with department teammates and subject matter experts.
• Ability to manage multiple projects and meet deadlines.
• Courage to challenge SMEs and senior leadership to improve Compliance Risk Assessment data.
• Ability to analyze large quantities of reports/data and summarize meaningful trends.
• Strong attention to detail, especially with complex Excel spreadsheets.
• Professional certification(s) such as CRCM, CSCP, CIA, or CRP.

Nice To Haves

• SharePoint experience.
• 5+ years of experience with investment advisory laws, rules, and regulations.
• Understanding of fiduciary and conflict of interest expectations.

Responsibilities

• Execute and manage Compliance Risk Assessments to identify significant compliance risks.
• Prepare risk assessment reports and present findings to key stakeholders.
• Monitor, assess, and report on changes in compliance risk levels as emphasized by the SEC.
• Collaborate with investment adviser Subject Matter Experts to discuss key risks and identify upcoming risks.
• Develop standard and special purpose reports for IA Committees and Compliance Department.

Benefits

• 401(k) with company match
• Employee stock purchase plan
• Paid time for vacation and volunteering
• 28-day sabbatical after every 5 years of service
• Paid parental leave
• Family building benefits
• Tuition reimbursement
• Health, dental, and vision insurance

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree