Senior Manager, Compliance – Broker-Dealer Program Lead

Charles Schwab Corporation; Southlake (TX); On-site; USD 150,000 - 190,000; Full time

Job summary

Charles Schwab Corporation in Texas is seeking a Senior Manager, Compliance – Broker-Dealer Program Lead to shape and strengthen the broker-dealer compliance program, focusing on FINRA rules 3120 and 3130. You will lead governance, develop reporting for senior leadership, and collaborate with risk management and internal audit to address regulatory changes and strengthen controls across Schwab.

This high-visibility role offers enterprise-wide impact, on-site collaboration, and opportunities to

Qualifications

• 7+ years in financial services, with at least 5 in compliance or risk.
• Working knowledge of broker-dealer regulatory standards.
• Experience leading cross-functional initiatives with defined deliverables, stakeholders, and accountability.
• Experience managing multiple concurrent initiatives and deadlines.
• Experience creating written communications, reports, or presentations for business or leadership audiences.
• Experience working with cross-functional partners to implement process, control, or organizational change.
• Experience evaluating compliance or risk issues and providing an independent risk management perspective.

Responsibilities

• Lead broker-dealer compliance program deliverables.
• Develop reporting for senior and executive leadership.
• Govern the designated supervisory principal information and related program requirements.
• Strengthen processes, tools, controls, and infrastructure that support the program.
• Create training and communication strategies for Compliance colleagues.
• Identify opportunities to modernize the program and adapt to regulatory needs.
• Evaluate internal and external control inputs to address compliance risks.
• Build partnerships across Schwab Compliance, Corporate Risk Management, Internal Audit, and first-line business teams.

Skills

Regulatory knowledge

Compliance leadership

Cross-functional leadership

Project management

Communications

Deadline driven

Job description

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. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in one of the specified locations.

Join a highly visible Compliance team that helps protect client trust and the integrity of Schwab’s broker-dealer business. As the Senior Manager, Compliance – Broker-Dealer Program Lead, you will help shape and strengthen the compliance program for Charles Schwab & Co., Inc. (CS&Co), with a particular focus on FINRA Rules 3120 and 3130.

This is an opportunity to lead work that matters across the firm. You will bring together regulatory insight, strategic thinking, and strong partnerships to support key broker-dealer obligations, enhance the program’s supporting infrastructure, and provide senior and executive leaders with clear perspectives on compliance risk. Your work will help Schwab anticipate evolving expectations, strengthen controls, and make informed decisions while continuing to serve clients with integrity.

In this role, you will:

• Lead critical deliverables associated with Schwab’s broker-dealer compliance program and applicable regulatory obligations.

• Develop meaningful reporting and presentations for senior and executive leadership.

• Guide the governance of designated supervisory principal information and related program requirements.

• Strengthen the processes, tools, controls, and infrastructure that support the program.

• Create training and communication strategies that help Compliance colleagues understand and fulfill program responsibilities.

• Identify opportunities to modernize the program, improve effectiveness, and respond to changing business and regulatory needs.

• Evaluate internal and external control inputs to help ensure compliance risks are appropriately identified and addressed.

• Build strong partnerships across Schwab Compliance, Corporate Risk Management, Internal Audit, and first-line business teams.

You will gain broad exposure to Schwab’s business and risk functions while collaborating with colleagues across multiple lines of defense. For a compliance professional who enjoys solving complex problems, influencing at senior levels, and turning regulatory expectations into sustainable business practices, this role offers a meaningful opportunity to grow and make an enterprise-wide impact.

What you have

Required Qualifications:

• 7 or more years of financial services industry experience, including at least five years in a Compliance or Risk role.
• Working knowledge of broker-dealer regulatory standards.
• Experience leading projects or cross-functional initiatives with defined deliverables, stakeholders, and accountability.
• Experience managing multiple concurrent initiatives and deadlines.
• Experience creating written communications, reports, or presentations for business or leadership audiences.
• Experience working with cross-functional partners to implement process, control, or organizational change.
• Experience evaluating compliance or risk issues and providing an independent risk management perspective.

Preferred Qualifications:

• FINRA Series 7 license.
• FINRA Series 24 license.
• Knowledge of FINRA Rules 3120 and 3130.
• Experience supporting a broker-dealer compliance program.
• Experience preparing compliance or risk reporting for senior or executive leadership.
• Experience developing compliance training or communication strategies.
• Experience partnering with Corporate Risk Management, Internal Audit, or first-line business teams.
• Experience improving compliance processes, controls, tools, or supporting infrastructure.