Senior Manager, Compliance

Schwab Stock Plan Services; Boston (MA); On-site; USD 90,000 - 201,000; Full time

Job summary

A leading financial services company is seeking a Senior Manager for Compliance in Boston. This individual will support the Employee Compliance Program focusing on securities trading and ethical codes. The role demands a blend of strong compliance knowledge, independent judgment, and superior communication skills.

Benefits

401(k) with company match

Paid parental leave

Tuition reimbursement

28-day sabbatical every 5 years

Health, dental, and vision insurance

Qualifications

• 6-8+ years of compliance, legal and/or regulatory experience.
• Strong understanding of employee trading and ethical codes.
• Ability to work independently and within a team.

Responsibilities

• Evaluate and analyze employee preclearance requests.
• Report monitoring and surveillance results.
• Enhance efficiencies in compliance processes.

Skills

Compliance

Legal

Regulatory Experience

Communication Skills

Independent Work

Education

BS/BA degree or equivalent work experience

Job description

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Westlake, TX ; Southlake, TX ; Austin, TX ; Chicago, IL ; Boston, MA

Requisition ID 2025-111332 Category Legal & Compliance Position type Regular Pay range USD $90,000.00 - $200,100.00 / Year Application deadline 2025-06-03

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Your opportunity

At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.

In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the firm.

The Senior Manager will join an engaging and dynamic Employee Compliance Team.This role will be responsible for supporting the execution of key components of the Employee Compliance Program including Schwab securities trading, Schwab Investment Advisers Codes of Ethics, Gifts and Entertainment and Political Contributions. This role is an individual contributor role reporting to the Director, Compliance.

Day-to-Day Responsibilities Will Include

• Evaluating and analyzing employee preclearance requests, trading and disclosure activities and surveillance results for possible violation of law, regulation, firm policies or for other irregularities.
• Reporting monitoring and surveillance results to various governance forums.
• Remaining current on regulatory developments and enterprise-wide policies and procedures needed to conduct monitoring and surveillance effectively.
• Identifying opportunities to enhance and create efficiencies in monitoring and surveillance and support the execution and delivery of key initiatives.
• Developing and cultivating strong partnerships across Compliance, Legal, Corporate Risk Management, and business partners.
  
  

What you have

• 6-8+ years of compliance, legal and/or regulatory experience in monitoring and surveillance.
• Embraces an enterprise view in identifying, assessing, mitigating, measuring, and monitoring Compliance risks consistent with the Enterprise Risk Management Framework.
• Strong understanding and experience with implementing frameworks related to employee trading requirements (i.e. Trade Windows), Investment Adviser Codes of Ethics (i.e. preclearance and reporting) and mitigating material non-public information risks.
• Superior communication skills, both written and verbal, including the ability to develop concise and effective communications tailored to specific audiences.
• Ability to work independently and within a geographically dispersed team.
• BS/BA degree or equivalent work experience.
  
  

What’s in it for you

At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

• 401(k) with company match and Employee stock purchase plan
• Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
• Paid parental leave and family building benefits
• Tuition reimbursement
• Health, dental, and vision insurance
  
  

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Eligible Schwabbies receive

• Medical, dental and vision benefits
• 401(k) and employee stock purchase plans
• Tuition reimbursement to keep developing your career
• Paid parental leave and adoption/family building benefits
• Sabbatical leave available after five years of employment

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

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