Manager, Compliance

nications Standards. The position requires a deep understanding of FINRA rules 1010, 3270, 3280, and 3110(e), and the individual must be able to spot potential conflicts of interest and address accordingly.

The role will include daily reviews and actioning of personal disclosures including making escalation decisions, determining reportability, making requisite filings, monitoring completion of requirements, addressing policy violations and reporting of same. The individual in this position must have the judgment and ability to collaborate with employees, Regulators, Legal, HR, Business and Conduct Risk Management partners on sensitive matters.

What you have

Preferred Qualifications

• Bachelor's Degree

• 5-10 years' professional experience in the financial services industry with Compliance, Licensing & Registration, or Supervisory experience

• SIE & S7TO Securities Licenses

• Prior experience using regulatory systems such as FINRA Gateway, WebCRD, IARD, ORS, and NMLS

• Deep understanding of regulatory environments and working knowledge of securities industry rules and regulations

• Experience filing Form U4 disclosure amendments and understanding of Form U4 disclosure requirements

• Knowledge in Personal Securities Accounts and Private Securities.

• Advanced Microsoft Excel Skills

• Experience with Tableau, and other database management tools such as Microsoft SQL Server

• Effective communication skills both verbal and written with an ability to articulate compliance requirements

• Detail oriented with the ability to manage multiple tasks at any one time

• Commitment to integrity and high ethical standards.

What's in it for you

At Schwab, you're empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration-so you can build the skills to make a lasting impact. 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