Senior Manager, Compliance

Charles Schwab; Phoenix (AZ); On-site; USD 123,500 - 212,850; Full time

Benefits offered by this job

401(k) with company match

Paid time for vacation and volunteering

Paid parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

A financial services company located in Phoenix, AZ, is seeking a Senior Manager in Compliance. This role focuses on registration and licensing, requiring deep expertise in regulatory requirements and collaboration with various business partners. Ideal candidates will have 5-10 years of experience in the financial services, along with skills in advanced Excel, Tableau, and SQL. The position offers comprehensive benefits including a 401(k) with company match, paid parental leave, and tuition reimbursement.

Qualifications

• 5-10 years of experience in the financial services industry, including direct experience in Securities, Futures, and MLO Registration.
• Ability to perform daily supervisory reviews of Employee Compliance processes and activities.
• Deep understanding of the regulatory environment and qualifications requirements.

Responsibilities

• Provide guidance on registration and licensing deficiencies.
• Collaborate with business partners, Human Resources, Legal, Risk, and Supervision.
• Identify the need for process improvements and communicate with IT partners.

Skills

Expertise in registration and licensing requirements (FINRA, NFA)

Advanced Excel

Tableau

SQL

Effective verbal and written communication skills

Education

Bachelor’s degree

Tools

WebCRD

FINRA Gateway

NFA ORS

Job description

Senior Manager, Compliance – Charles Schwab – Scottsdale, AZ

Salary: $123,500.00 – $212,850.00

Overview

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.

The Compliance team covers a variety of functions, including Registration, Employee Trading, Electronic Communications, Compliance Monitoring and Reporting, and Compliance Certifications/Disclosures. As we transform our Employee Compliance Program, we recognize the need to shift more responsibility onto our Compliance team, providing guidance to employees and robust support to supervisors.

We are seeking a seasoned Compliance Professional with deep expertise in registration and licensing requirements, including FINRA, SRO, States, Banking (MLO/NMLS) NFA, and Investment Advisor requirements. The ideal candidate should possess extensive knowledge of FINRA Rules 1210, 1220, and 3110. This role requires close collaboration with partners in the business, Human Resources, Legal, Risk, and Supervision to identify registration and licensing deficiencies and close the gaps.

While the primary focus is on registration and licensing, we also look for someone who can provide guidance to employees on other policies our group covers, such as Personal Account and Disclosures, Electronic Communications, Gifts and Entertainment, and Charitable Sponsorships.

Qualifications

• Bachelor’s degree is preferred.
• Extensive experience with WebCRD, FINRA Gateway, and NFA ORS.
• Advanced Excel, Tableau, SQL.
• 5‑10 years of professional experience in the financial services industry, including direct experience in Securities, Futures, and MLO Registration (FINRA, NFA, NMLS).
• Ability to distinguish between Permissive and Required Registration roles.
• Deep understanding of the regulatory environment, securities industry rules and regulations, and qualification requirements.
• Ability to perform daily supervisory reviews of Employee Compliance processes and activities.
• Ability to identify the need for Process/Systems improvements and communicate requirements to IT partners.
• Ability to develop an understanding of each Schwab business to determine qualification requirements.
• Effective verbal and written communication skills with the ability to articulate compliance requirements clearly.

Benefits

• 401(k) with company match and Employee stock purchase plan
• Paid time for vacation, volunteering, and a 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

Seniority Level

Mid‑Senior level

Employment Type

Full‑time

Job Function

Legal