Broker-Dealer Compliance Program Leader

Charles Schwab Corporation; Southlake (TX); On-site; USD 150,000 - 190,000; Full time

Job summary

Charles Schwab Corporation in Texas is seeking a Senior Manager, Compliance – Broker-Dealer Program Lead to shape and strengthen the broker-dealer compliance program, focusing on FINRA rules 3120 and 3130. You will lead governance, develop reporting for senior leadership, and collaborate with risk management and internal audit to address regulatory changes and strengthen controls across Schwab.

This high-visibility role offers enterprise-wide impact, on-site collaboration, and opportunities to

Qualifications

• 7+ years in financial services, with at least 5 in compliance or risk.
• Working knowledge of broker-dealer regulatory standards.
• Experience leading 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.

Responsibilities

• Lead broker-dealer compliance program deliverables.
• Develop reporting for senior and executive leadership.
• Govern the designated supervisory principal information and related program requirements.
• Strengthen processes, tools, controls, and infrastructure that support the program.
• Create training and communication strategies for Compliance colleagues.
• Identify opportunities to modernize the program and adapt to regulatory needs.
• Evaluate internal and external control inputs to address compliance risks.
• Build partnerships across Schwab Compliance, Corporate Risk Management, Internal Audit, and first-line business teams.

Skills

Regulatory knowledge

Compliance leadership

Cross-functional leadership

Project management

Communications

Deadline driven

Job description

Charles Schwab Corporation in Texas is seeking a Senior Manager, Compliance – Broker-Dealer Program Lead to shape and strengthen the broker-dealer compliance program, focusing on FINRA rules 3120 and 3130. You will lead governance, develop reporting for senior leadership, and collaborate with risk management and internal audit to address regulatory changes and strengthen controls across Schwab.

This high-visibility role offers enterprise-wide impact, on-site collaboration, and opportunities to