Charles Schwab Sr. Specialist - Compliance in Austin, Texas

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.

What you’ll do:

The Corporate Compliance Department has a Senior Specialist level opening based in Austin, TX. The successful candidate will be adept at collecting large amounts of information and organizing it in a usable format using SharePoint, Excel, Word & PowerPoint. Responsibilities include collection and consolidation of information across various compliance programs that will be utilized for coordination of Compliance Testing, Compliance Risk Assessments, and Management Reporting. The Senior Specialist will be expected to coordinate with the various compliance programs to ensure data is received timely and data inputs and outputs are accurate while also identifying areas to enhance and streamline the current processes. Additional projects and tasks may be assigned based on business and regulatory needs.

What you have:

The successful candidate should have a strong attention to detail and excel at working in a fast paced environment, be able to handle multiple priorities and function equally well as an individual contributor and member of a team.

  • 1+ years of experience in Compliance, supervision/controls, risk , or audit function

  • 3+ years of experience in financial services

  • Strong understanding of FINRA/SEC rules and regulations

  • Strong organizational, planning and time management skills with proven ability to multi-task and meet critical deadlines.

  • Strong interpersonal and communication skills with ability to interact with all levels of firm management

  • Strong analytical and problem solving skills; ability to exercise sound judgment

  • Advanced Microsoft SharePoint skills and a high level of proficiency in other Microsoft Office programs including: Word, Excel and PowerPoint will be required for this position

  • Bachelor’s degree or equivalent experience preferred

  • Series 7 & Series 63/65 licenses preferred, Series 9/10 or 24 a + Ability to work independently and proactively, exercise sound judgment with minimum guidance

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