Charles Schwab Supervision & Controls, Policy & Procedure Writer in Indianapolis, Indiana


Indianapolis - IN, INDYC, 8332 Woodfield Crossing Blvd, 46240-2482

Don Carlos Collins


We believe that , when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

Please note: This job posting is for future opportunities we are anticipating within the Supervision & Controls team of Schwab's Investor Services Enterprise

Supervision & Controls is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis and supervisory risk assessments, to Schwab’s Investor Services (retail) group. Supervision and Controls vision is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective and unbiased risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment.

What you’ll do:

Complete and accurate procedures are the foundation for everything we do, which makes them an essential component of our supervisory framework. The Procedure Writer in Supervision & Controls has a critical role in the overall management of policies and procedures for Schwab Investor Services. Responsibilities include:

  • Developing and administering an effective change management process, which supports our strategic priorities and serves the needs of our business partners

  • Working with team members and business partners to uncover, understand, and address policy and procedure needs, including related training and technology enhancements

  • Ongoing analysis of activities against existing policies and procedures, to identify and update areas of deficiency

  • Managing policy and procedure inventory and annual review requirements, including creating and editing documentation

  • Improving and evolving documentation and communication practices through continual education, training, and collaboration

  • Assist in training/coaching the policy team on translating complex regulatory requirements into policies and procedures that are easily understood and implemented

  • Assist in the development and management of an end to end communication strategy

  • Assist in the development and management of robust tracking and reporting for the team

  • Lead role in editing to implement a “one voice” style for Supervisory Policies and Procedures

What you have:

  • 5+ years’ work experience in writing/revising policies and procedures, preferably in a broker dealer or financial regulatory environment

  • Proficiency in Microsoft Office required. Good working knowledge of Microsoft Word and Excel, including use of tools such as advanced formatting, reference tables and formulas.

  • Proficiency in grammar and editing skills are required

  • Ability to organize topics and themes in a logical and meaningful way; understands how details apply to the broader context

  • Strong communication, influencing, and relationship skills, including experience working with all levels of management

  • Strong knowledge and understanding of compliance and regulatory requirements applicable to the brokerage/investment advisory industry

  • Time management, organization, and prioritization skills; ability to work under intensive deadlines

  • Experience with change management tracking software

  • Bachelor’s degree

Additionally, the following qualifications are strong preferred:

  • Active and valid Series 7, 63 and 9/10 licenses (may be obtained with a Condition of Employment)

  • Experience with Broker/Dealer and RIA business models and regulations

  • Experience with change management tracking and knowledge management tracking software a plus

  • Technical writing/editing experience

  • Working knowledge of SharePoint collaboration software

What you’ll get:

  • Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions

  • Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts

  • Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer

  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships

  • Not just a job, but a career, with an opportunity to do the best work of your life

Learn more about Life@Schwab at .

Charles Schwab & Co., Inc. is an equal opportunity/affirmative action employer committed to diversifying its workforce. All applications are considered without regard to race, color, religion, sex, sexual orientation, national origin, age, disability, protected veteran status (disabled veterans, recently separated veterans, active duty wartime or campaign badge veterans, Armed Forces service medal veterans), or based on any individual's status in any group or class protected by applicable federal, state or local law.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: FINRA Series 63, FINRA Series 10, FINRA Series 7, FINRA Series 9

Relevant Work Experience: Regulatory, Compliance

Position Located In: TX - Austin, IL - Chicago, AZ - Phoenix, FL - Orlando, CO - Lone Tree, IN - Indianapolis, TX - Westlake

Education: BA/BS

Job Type: Full Time


Activation Date: Wednesday, July 5, 2017

Expiration Date: Tuesday, August 8, 2017

Apply Here