Senior Compliance Risk Assessment Manager - On-Site

Charles Schwab; Orlando (FL); Híbrido; USD 150.000 - 190.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

401(k) with company match

Sabbatical after every 5 years of ser­

Parental leave and family building

Tuition reimbursement

Health, dental, and vision insurance

Descripción de la vacante

Charles Schwab is seeking a Senior Manager in Compliance Risk Assessments to monitor, evaluate, and report on regulatory risk across broker-dealers, futures, and related activities. You will lead risk discussions with SMEs and present findings to committees and leadership, shaping remediation priorities and controls.

The role emphasizes collaboration, strong regulatory knowledge, and the ability to manage multiple risk projects with precision and independence.

Formación

• BS/BA degree or equivalent in regulatory compliance matters impacting broker-dealers, futures commission merchants or introducing brokers.
• 5+ years of compliance and/or risk management experience.
• Ability to read and analyze large quantities of reports/data and pinpoint and summarize meaningful trends and material components in a concise summary.
• Proficient attention to detail.
• Ability to work independently.
• Ability to adapt to changing circumstances/priorities, scope of work and/or new ideas.
• Ability to identify and assess regulatory risk and risk mitigation/controls.
• Strong knowledge and understanding regulatory expectations, interpreting regulatory guidance, and assessing risk.
• Excellent presentation and communication skills, including the strong ability to clearly articulate risks to key stakeholders, independently prioritize multiple priorities and changes in scope.
• Ability to think critically about Compliance Risk Assessments inputs and results.
• Ability to work collaboratively with department teammates and subject matter experts to maintain accurate information within the risk assessments.
• Ability to work on multiple projects, prioritize activities and meet deadlines.
• Courage to effectively challenge SMEs, teammates, and senior leadership to help improve the Compliance Risk Assessment data and process.
• 5+ or more years of experience supporting compliance, risk management, or regulatory oversight for complex securities products, futures, and private securities markets, including private placements, exempt offerings, alternative investments, options, futures commission merchants, introducing brokers, and broker‑dealer activities.
• A good understanding of enterprise-wide regulatory obligations.
• Professional license(s): Series 7, Series 63, Series 9/10, Series 3, Series 4, Series 82, and/or Series 24.
• Professional certification(s): CRCM, CSCP, CIA, and/or CRP.
• SharePoint experience.

Responsabilidades

• Monitor, assess, and report on changes regarding levels of compliance risk as emphasized by Schwab’s regulatory bodies.
• Prepare risk assessment reports and present findings to key stakeholders and senior leadership.
• Maintain a strong working knowledge of regulations applicable to Schwab.
• Lead meetings with Subject Matter Experts to discuss key risks and identify upcoming risks.
• Develop standard, and special purpose reports for Committees, Compliance Department, and Business Units.

Conocimientos

Regulatory compliance

Risk management

Data analysis

Stakeholder communication

Regulatory reporting

Educación

BS/BA degree or equivalent

Herramientas

SharePoint

Descripción del empleo

Charles Schwab is seeking a Senior Manager in Compliance Risk Assessments to monitor, evaluate, and report on regulatory risk across broker-dealers, futures, and related activities. You will lead risk discussions with SMEs and present findings to committees and leadership, shaping remediation priorities and controls.

The role emphasizes collaboration, strong regulatory knowledge, and the ability to manage multiple risk projects with precision and independence.