Senior Manager, Compliance - Electronic Communications Surveillance
Your Opportunity
At 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.
We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join our Monitoring Program as a Senior Manager.
The Senior Manager position will continually evaluate and make recommendations to enhance surveillance, implement new monitoring activities, drive efficiencies to create scale and develop and foster strong partnerships across Compliance, Legal, Corporate Risk Management, and with business partners.
What you are good at :
The Senior Manager will be responsible for assisting the firm in enhancing our enterprise-wide program designed to monitor Electronic Communications.
Further, this individual will own the process to detect and remediate potential firm violations through monitoring of electronic communications.
Also, the Senior Manager will be responsible for conducting surveillance of certain securities activities relating to Equities, Equity and Index Options, Futures, and Derivatives.
Key Responsibilities :
- Conduct electronic communication reviews to identify potential violations of Firm policies and escalate and make referrals when appropriate.
- Evaluate and analyze surveillance results for possible violation of law, regulation, firm policies or for other irregularities, escalating potential issues in accordance with Compliance Standards.
- Lead projects for key initiatives across the team, including establishing and implementing an Electronic Communication program.
- Along with the Head of Compliance Monitoring, influence, and challenge to ensure regulatory obligations of programs are effective.
- Play an instrumental role in continuing to drive efficiencies, align surveillance functions and evolve the Compliance Monitoring Program.
- Keep current on regulatory developments and enterprise-wide policies and procedures necessary to conduct monitoring and surveillance effectively and adequately.
- Build constructive relationships with business partners while adhering to the highest ethical standards.
What you have
- Bachelor's degree required, or equivalent experience
- Minimum 7+ years' experience in Monitoring and Surveillance as a second line of defense risk management function
- Proficiency with surveillance and electronic communication monitoring systems
- Understanding of rules and regulations from the following regulators : OCC, SEC, FINRA, CFTC, NFA, DOL, as well as various State authorities
- Strong understanding of the role of Compliance and the relationship between Compliance and business
The following qualifications are preferred
Professional licensing and / or compliance certifications (e.g. FINRA Series 7, 66)
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