Senior Broker-Dealer Compliance Program Lead

Charles Schwab; Southlake (TX); On-site; USD 150,000 - 210,000; Full time

Benefits offered by this job

401(k) match

Employee stock purchase plan

PTO and volunteering time + sabbatical

Parental leave and family benefits

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab in Texas seeks a Senior Manager, Compliance – Broker-Dealer Program Lead to shape and strengthen the broker-dealer compliance program, focusing on FINRA rules and regulatory obligations. You will integrate regulatory insight with strategic thinking and partnerships across risk and internal audit.

This role offers high-visibility impact, leadership of critical deliverables, and opportunities to modernize processes, reporting, and training for Compliance colleagues, with

Qualifications

• 7+ years in financial services with compliance or risk background.
• Experience with broker-dealer regulatory standards.
• Ability to lead cross-functional initiatives and deliverables.

Responsibilities

• Lead deliverables for Schwab's broker-dealer compliance program and regulatory obligations.
• Develop reporting and presentations for senior leaders.
• Govern designated supervisory principal information and program requirements.
• Strengthen processes, controls, and infrastructure supporting the program.
• Create training and communications strategies for compliance colleagues.
• Identify opportunities to modernize the program and respond to regulatory needs.
• Evaluate inputs to ensure compliance risks are identified and addressed.
• Build partnerships across Schwab Compliance, Risk, Internal Audit, and first-line teams.

Skills

Regulatory compliance

Broker-dealer standards

Project leadership

Cross-functional collaboration

Executive communications

Risk management perspective

Stakeholder management

Tools

FINRA Series 7 license

FINRA Series 24 license

Job description

Charles Schwab in Texas seeks a Senior Manager, Compliance – Broker-Dealer Program Lead to shape and strengthen the broker-dealer compliance program, focusing on FINRA rules and regulatory obligations. You will integrate regulatory insight with strategic thinking and partnerships across risk and internal audit.

This role offers high-visibility impact, leadership of critical deliverables, and opportunities to modernize processes, reporting, and training for Compliance colleagues, with