Retail Compliance Testing Manager Elevating Controls & Trust

Charles Schwab Corporation; Southlake (TX); On-site; USD 120,000 - 170,000; Full time

Job summary

Charles Schwab Corporation seeks a Compliance Manager to conduct testing of branch and non-branch locations and to assess whether internal controls comply with regulatory requirements. The role involves working with Compliance, Legal, and Risk Management to promote strong controls and enterprise policy adherence.

The position requires five+ years in financial services, knowledge of FINRA/SEC/NFA/OCC rules, and experience in Second Line of Defense testing.

Qualifications

• 5+ years of financial services experience or equivalent exposure.
• Knowledge of FRB, SEC, FINRA, NFA, OCC, privacy, and AML requirements.
• Experience executing Second Line of Defense compliance testing and applying risk management principles.

Responsibilities

• Execute standardized testing programs addressing internal and regulatory requirements.
• Perform remote and onsite testing and interview personnel to assess controls.

Skills

Financial services

Regulatory compliance

Testing

Education

Bachelor's degree or equivalent

Tools

Microsoft Office

Job description

Charles Schwab Corporation seeks a Compliance Manager to conduct testing of branch and non-branch locations and to assess whether internal controls comply with regulatory requirements. The role involves working with Compliance, Legal, and Risk Management to promote strong controls and enterprise policy adherence.

The position requires five+ years in financial services, knowledge of FINRA/SEC/NFA/OCC rules, and experience in Second Line of Defense testing.