Regulatory Complaints Manager — Hybrid, Impact & Oversight

Charles Schwab; Orlando (FL); On-site; USD 90,000 - 140,000; Full time

Benefits offered by this job

401(k) with company match

Paid time off and sabbatical

Paid parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab seeks a seasoned compliance professional to lead regulatory and risk-related activities in Orlando. The role focuses on handling client complaints, coordinating investigations, and ensuring robust regulatory reporting while collaborating with stakeholders across the organization.

Ideal candidates will bring a Series 7 license, a strong analytical mindset, and the ability to influence senior leaders.

Qualifications

• Bachelor's degree or equivalent experience.
• Series 7 license.
• 5+ years of experience in Compliance, Risk Management, Supervision, Complaint Management, Regulatory Relations, or a related control function.
• Strong understanding of client complaint handling, escalation, documentation, and regulatory reporting requirements.
• Ability to influence stakeholders and communicate effectively across all levels of the organization.
• Demonstrated analytical, problem-solving, and investigative skills.

Skills

Series 7 license

Compliance experience

Regulatory reporting

Education

Bachelor's degree or equivalent experience

Tools

Microsoft Office

SharePoint

Job description

Charles Schwab seeks a seasoned compliance professional to lead regulatory and risk-related activities in Orlando. The role focuses on handling client complaints, coordinating investigations, and ensuring robust regulatory reporting while collaborating with stakeholders across the organization.

Ideal candidates will bring a Series 7 license, a strong analytical mindset, and the ability to influence senior leaders.