Charles Schwab Senior Manager - AML Program & Strategy in Lone Tree, Colorado


Lone Tree - CO, DENR3, 9800 Schwab Way, 80124

Jose Tolentino


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:

In Corporate 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 to our business partners regarding the applicability of rules and regulations; advice on policies, procedures and controls; reviewing advertising and other communications with the public.

The Financial Crimes Compliance (FCC) Program & Strategy team in Corporate Compliance oversees the Company's BSA/AML, OFAC and Sanctions Program, and performs activities to report on the health of the Program and to assess related risks to the firm. We have an opening for a Sr. Manager - AML Program & Strategy, which is an individual contributor’s role, to be based in Denver, CO or Westlake, TX.

What you’ll do:

The primary responsibility of the Sr. Manager – AML Program & Strategy will be to foster the development of a mature and continuously improving BSA/AML and OFAC/Sanctions Programs. As a direct report to the AML Program Oversight and Exam/Audit Management Director, the Sr. Manager will:

  • Track and report Program Enhancement items and Self-Identified Issues for the BSA/AML/OFAC Program, and create related reports for Senior Management

  • Assist with other aspects of the BSA/AML and OFAC/Sanctions Programs, including the management of initiatives related to outstanding regulatory exam and audit issues and reporting on behalf of FCC

  • Help to ensure Program issues are appropriately escalated and adequate corrective action plans are established and tracked

  • Act as a liaison between AML staff and various internal departments for activities related to the production of Risk Control Self-Assessments (RCSA) reports and ensure Business line controls are sufficient and properly documented in the RCSA tool

  • Act as a liaison with Enterprise Risk Management in preparing the BSA/AML and OFAC Program’s own RCSA and assist senior management with quarterly attestation related activities and updates

  • Work collaboratively with other compliance department personnel on various projects and initiatives as directed

What you have:

  • BS/BA degree or equivalent work experience

  • Five or more years in the financial services industry (banking and/or securities) with a solid background in BSA, AML, and OFAC compliance, or Risk Management as well as, audit / exam management experience in this area

  • Experience in corporate governance and risk management from an enterprise wide perspective

  • Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization

  • Demonstrated ability to analyze issues and develop plans on a systemic level, thinking through potential connections and impact across the Schwab ecosystem, and developing roadmaps to achieve long term vision through short term deliverables

  • Understanding of the regulatory environment and rules and regulations applicable to a diversified financial services firm, including strong knowledge of BSA/AML and OFAC/Sanctions regulations and laws

  • Ability to effectively and quickly build relationships and establish trust, respect, competence and confidence

  • Experience consulting with all levels of management and working collaboratively with various groups with potentially disparate objectives

  • Results-oriented, able to quickly sort through information and develop concise and clear strategies and solutions

  • Ability to be flexible, use sound judgment, solve problems, work under pressure, and meet tight deadlines

  • Advanced skill with Microsoft Word, Excel and PowerPoint.

  • Positive attitude, enthusiasm, professionalism and strong work ethic with high level of integrity and ethics

  • Knowledge and/or experience with Open Pages integration is highly preferred

  • Project management experience within a compliance environment is preferred

  • Certified Anti-Money Laundering Specialist (CAMS) designation is 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.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: None

Relevant Work Experience: Financial Services-6+ yrs, Financial Services-2-5 yrs, Regulatory, Banking-6+ yrs, Banking-2-5 yrs, Compliance

Position Located In: AZ - Phoenix, CO - Lone Tree

Education: HS/GED

Job Type: Full Time


Activation Date: Tuesday, August 22, 2017

Expiration Date: Sunday, October 1, 2017

Apply Here