Senior Manager, Compliance Risk Assessment - On-site

Charles Schwab; Omaha (NE); On-site; USD 120,000 - 170,000; Full time

Benefits offered by this job

401(k) with company match

Paid time off + sabbatical every 5 yrs

Parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab is seeking a Senior Manager in Compliance Risk Assessment to monitor, assess, and report on regulatory risk across broker-dealer, futures, and related activities. The role offers visibility to senior leadership and requires collaboration with SMEs to improve risk data and processes.

Based in Omaha, NE, the position emphasizes on-site collaboration, rigorous reporting, and adherence to SEC/FINRA/CFTC guidelines while supporting firm-wide risk priorities and regulatory obligations.

Qualifications

• 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 large reports/data and summarize trends.
• Proficient attention to detail.
• Ability to work independently.
• Ability to adapt to changing priorities.
• Ability to identify regulatory risk and controls.

Responsibilities

• Monitor and report changes in compliance risk and regulatory expectations.
• Prepare risk assessment reports for committees and senior leadership.
• Collaborate with subject matter experts to discuss key risks.
• Lead meetings to identify upcoming risks and remediation.
• Develop standard and ad hoc risk reports for business units.

Skills

Regulatory compliance

Risk management

Data analysis

Attention to detail

Independent work

Adaptability

Stakeholder communication

Regulatory risk assessment

Education

BS/BA degree or equivalent

Tools

SharePoint

Job description

Charles Schwab is seeking a Senior Manager in Compliance Risk Assessment to monitor, assess, and report on regulatory risk across broker-dealer, futures, and related activities. The role offers visibility to senior leadership and requires collaboration with SMEs to improve risk data and processes.

Based in Omaha, NE, the position emphasizes on-site collaboration, rigorous reporting, and adherence to SEC/FINRA/CFTC guidelines while supporting firm-wide risk priorities and regulatory obligations.