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Senior Manager, Compliance - Westlake, United States - Knewin
Description
Your opportunityAt 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 Compliance Department coordinates Schwab's compliance efforts, and performs an advisory, monitoring, testing, and education role to support management's supervisory responsibility and its efforts to achieve compliance with financial services rules and regulations, and policies of the Company.
We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join the team, as a Senior Manager responsible for supporting Schwab's Options and Trader and Education businesses.
The Senior Manager is an individual contributor and will report to the Director Options and Trading Services Compliance.What you'll do:
Support options related business activities and initiatives and take responsibility for providing timely advice and guidance to business partners regarding options trading related rules, laws, regulations as well as company policies.
Support review of options related complaints, compliance monitoring of options account approval processes, and internal and external examination processes of the options and Trader businesses as needed.
Provide compliance support for trading platforms including thinkorswim, , and StreetSmart platforms.Support development and deployment of required and targeted training for business partners in options and other compliance topics.
Support business partners' development of options and trading related communications with the public by advising on regulatory standards for the review, approval and dissemination of these communications, and conduct a Compliance Registered Options Principal review of such communications.
Provide real time review of live digital content including educational sessions and Broker Dealer participation on Schwab Network. Support Schwab Network broadly as needed.Assist in monitoring business partners' social media and similar client facing media.
Coordinate with other team members in carrying out the responsibilities outlined above.
Maintain a strong working knowledge of SRO rules (e.g., FINRA), SEC rules and regulations, as well as federal and state regulations; particularly those related to options, trading, and communications with the public.
Perform other duties and special projects, as may be assigned.What you have
Required Qualifications
Series 4 (or ability to obtain within 9 months of employment)
A minimum of 10 years of experience within financial services with a deep understanding of laws rules and regulations governing broker-dealers
Strong familiarity with options as well as advanced trading and investing concepts and products
Strong understanding of FINRA rules 2360, 2210, 2220 and 3110
Preferred Qualifications
Series 7, Series 24
Strong communication skills including ability to identify compliance risk and clearly articulate risks to business partners and risk colleagues.
Ability to independently identify opportunities for improvement and enhance overall Compliance programs
Sound judgment to influence a strong risk management culture across business practices
Excellent attention to detail and the ability to work both collaboratively and independently
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.
OurHybrid 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.
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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