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About the Role
The Compliance Risk Assessment Senior Manager will execute and manage Compliance Risk Assessments to determine areas that present the most significant compliance risk to Charles Schwab & Co., Inc., Forge Securities LLC, Charles Schwab Futures and Forex, consistent with relevant regulatory bodies (SEC, FINRA, CFTC, NFA). This individual contributor role involves monitoring, assessing, and reporting on compliance risk changes, preparing risk assessment reports, and presenting findings to key stakeholders and senior leadership.
Responsibilities
- Execute and manage Compliance Risk Assessments.
- Monitor, assess, and report on changes regarding the levels of compliance risk.
- Prepare risk assessment reports and present findings to key stakeholders and senior leadership.
- Lead meetings to discuss key risks and identify upcoming risks with Subject Matter Experts.
- Develop standard and special purpose reports for Committees, the Compliance Department, and applicable Business Units.
- Provide information about the results of Compliance Risk Assessments and/or other bodies of work.
Requirements
- BS/BA degree or equivalent work experience in regulatory compliance matters impacting broker-dealers (BDs), futures commission merchants (FCMs) or introducing brokers (IBs).
- 5+ years of compliance and/or risk management experience.
- Ability to read and analyze large quantities of reports/data and pinpoint and summarize meaningful trends and material components in a concise summary.
- Proficient attention to detail.
- Ability to work independently.
- Ability to adapt to changing circumstances/priorities, scope of work and/or new ideas.
- Ability to identify and assess regulatory risk and risk mitigation/controls.
- Strong knowledge and understanding of regulatory expectations, interpreting regulatory guidance, and assessing risk.
- Excellent presentation and communication skills, including the strong ability to clearly articulate risks to key stakeholders, independently prioritize multiple priorities and changes in scope.
- Ability to think critically about Compliance Risk Assessments inputs and results.
- Ability to work collaboratively with department teammates and subject matter experts to maintain accurate information within the risk assessments.
- Ability to work on multiple projects, prioritize activities and meet deadlines.
- Courage to effectively challenge SMEs, teammates, and senior leadership to help improve the Compliance Risk Assessment data and process.
- 5+ or more years of experience supporting compliance, risk management, or regulatory oversight for complex securities products, futures, and private securities markets, including private placements, exempt offerings, alternative investments, options, futures commission merchants (FCMs), introducing brokers (IBs), and broker-dealer (BD) activities.
- A good understanding of enterprise-wide regulatory obligations.
- SharePoint experience.
Skills
- Risk Management
- Regulatory Compliance
- Data Analysis
- Presentation Skills
- Communication Skills
- Critical Thinking
- Collaboration
- Project Management
- SharePoint
Location
- On-site
Work Type
- On-site
- Full-time
Experience Level
- 5+ years
Education Level
- BS/BA degree or equivalent work experience
- Series 7
- Series 63
- Series 9/10
- Series 3
- Series 4
- Series 82
- Series 24
- Certified Regulatory Compliance Manager (CRCM)
- Certified Securities Compliance Professional (CSCP)
- Certified Internal Auditor (CIA)
- Certified Risk Professional (CRP)
About the Company
- At Schwab, you’re empowered to make an impact on your career.
- 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.