Charles Schwab Director, Compliance - Retirement Plan Services in Richfield, Ohio

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:

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. We accomplish this through providing advice and guidance regarding the applicability of rules and regulations; advice on policies, procedures and controls; reviewing advertising and other communications with the public.

We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join our Retirement Plan Services compliance team as Director. The Director will assist the Managing Director of Compliance with supporting and monitoring the firm’s Retirement Plan Services businesses. The Director will be an individual contributor reporting into the Managing Director of Compliance who sits in our Austin, TX office. The position will be located in Richfield, Ohio.

What you’ll do:

  • Maintain a strong working knowledge of applicable regulatory guidance, expectations and requirements for the firm's compliance program

  • Provide timely compliance advice and guidance to business partners and senior management regarding conformity with applicable regulations

  • Review RPS communications with the public and provide compliance advice to the business and/or marketing partners with respect to those communications

  • Notify business partners on new regulations or compliance requirements that may require revisions to policies, procedures and/or controls

  • Conduct compliance training on relevant regulatory topics and expectations.

  • Perform other duties and special projects as assigned

What you have:

  • At least 10 years of experience working for a Third Party Administrator or Financial Institution

  • Professional work experience in a Compliance role in a similar sector of the industry

  • Strong working knowledge of DOL (ERISA), FINRA and SEC rules and guidance

  • Willingness to continue to learn advanced compliance issues

  • Strong written and oral communication skills

  • Strong attention to detail and the ability to work independently

  • Excellent organization and prioritization skills, including the ability to prioritize based on regulatory risk and business needs

  • Ability to identify and solve complex issues in a team environment working with various business partners

  • Bachelor’s degree required

  • Series 7 licensed (required – will consider a 90 day COE)

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 and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law.

Position Located In: TX - Austin, OH - Richfield