Charles Schwab Sr. Manager, Corporate Compliance Program– Conflicts of Interest Compliance in Austin, Texas


Austin - TX, AUS2, 2309 Gracy Farms Lane, 78758

Debra Andrea Mandell


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 at 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:

The Corporate Compliance Program (“CCP”) is a firm-wide compliance program established under the Corporate Compliance Risk Management Group established to manage compliance risks across The Charles Schwab Corporation and its subsidiaries. Within CCP, the Conflicts of Interest Compliance team is responsible for establishing and maintaining a conflicts of interest compliance program to assess, monitor, and report on enterprise-wide conflicts of interest.

What you’ll do:

Our Corporate Compliance Program is looking for a Sr. Manager to support their growing responsibilities. The Sr. Manager will report to the Managing Director-Corporate Compliance Program- Conflicts of Interest Compliance. The Sr. Manager will assess, monitor, and report on conflicts of interest at an enterprise level. You will work collaboratively with other risk partners, Compliance colleagues, and first line staff to implement a sustainable program for managing conflicts of interest across business lines, legal entities and jurisdictions of operations.

As a Sr. Manager on the conflicts of interest compliance team, your responsibilities may include, but are not limited to, the following activities:

  • Assessing existing conflicts of interest inventories against regulatory requirements and expectations of prudential regulators at the holding company level;

  • Building and maintaining a firm-wide conflicts of interest inventory in collaboration with the business and other compliance and risk functions, particularly those who manage existing conflicts of interest inventories or functions;

  • Advising business leaders on standing up first line of defense conflicts of interest risk management programs.

  • Collaborating with other compliance and risk subject matter experts to create an annual enterprise-wide conflicts of interest report, and such other reporting as may be needed;

  • Providing subject matter expertise and advice on regulatory guidance pertinent to conflicts of interest;

  • Liaising with other second line of defense and specialty areas to address conflicts of interest issues or events as they may arise;

  • Creating/coordinating periodic reporting of enterprise-wide conflicts of interest and preparing presentations and other materials for senior executive and board level audiences; and

  • Responding to regulatory inquiries, and preparing materials to be presented to regulators

What you have:

  • A minimum of 6 years in a compliance position within a diversified financial services environment, ideally with experience creating standards and processes across entire enterprises.

  • Strong understanding of varying compliance risks that transcend business lines, legal entities and jurisdictions of operations.

  • Strong attention to detail, and experience managing large and complex projects.

  • An excellent interpersonal communicator able to effectively persuade and influence across channels (written & verbal) with a purpose and connect with audiences of all levels.

  • Proven ability to find a balance in developing programs effectively meeting potentially differing regulatory requirements and expectations while being workable for business partners.

  • Risk assessment experience preferred.

  • Exceptionally client focused; able to effectively and quickly build relationships and establish trust, respect, competence and confidence.

  • Proven ability to identify and solve complex issues in a team environment working with various levels of management and business partners while being disciplined in the use of Project Management principals.

  • Fully proficient in the use of Microsoft Office and SharePoint including Word, PowerPoint, and Excel.

  • BA/BS degree required

  • FINRA Series 7, Series 65/66 and Series 9/10 or 24 license preferred.

What you’ll get:

  • Comprehensive Compensation and Benefits package

  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts

  • Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program

  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions

  • 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. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab's hiring decisions. All other submissions should be performed online.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: None

Relevant Work Experience: Internal Audit, Regulatory, Risk Analysis, Compliance

Position Located In: TX - Austin, AZ - Phoenix, TX - Westlake

Education: BA/BS

Job Type: Full Time


Activation Date: Tuesday, May 22, 2018

Expiration Date: Monday, October 1, 2018

Apply Here