Charles Schwab Senior Team Manager – AML Compliance Investigations 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 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 position is within the Anti Money Laundering (AML) Compliance Department, part of the Financial Crimes Investigations (FCI) organization. The organization assists in the assessment of AML risk presented to our business and the affirmative commitment to comply with laws and regulations governing money laundering activities, those identified under OFAC, as well as other financial crimes. A key objective of the organization is our ongoing commitment to the corporation’s abilities to meet regulatory obligations. Responsibilities of FCI extend beyond the AML program and include the Corporation’s Anti-Bribery and Identity Theft Program, Internal Investigations, and the safeguarding of customer and corporate assets against Fraud.

We are currently seeking a Senior Team Manager who can motivate, inspire and develop a diverse team, responsible for analyzing and resolving investigations cases escalated by our alert monitoring team and referrals across the firm. The leader will manage a multi-faceted team that reviews time sensitive cases for suspicious activity and Suspicious Activity Report (SAR) filing. The successful candidate will also develop partnerships with internal and external business partners for Charles Schwab & Co. and Charles Schwab Bank. The AML Compliance Sr. Team Manager will help to build out our Colorado AML presence in close partnership with our teams in Denver, San Francisco, and Chicago.

What you’ll do:

  • Creating a work environment that promotes employee engagement by setting clear expectations and consistently providing information, resources, feedback, coaching and recognition that helps employees maintain a high level of performance;

  • Ensuring service level agreements are met and maintaining a balance between quality and efficiency;

  • Creating, maintaining and updating department policies, procedures, and risk assessments;

  • Understanding of industry regulations in order to ensure team compliance with firm’s policies and procedures;

  • Driving business results by acting as a subject matter expert, fostering an environment that creates process efficiencies, leading project initiatives, and ensuring the implementation of projects within the department;

  • Identifying and selecting talent for the AML Compliance Department.

  • The Senior Team Manager will report into our Managing Director of AML Monitoring and Investigations, and manage a team of AML Compliance Investigators.

What you have:

This is a fast paced, detail-oriented, high volume, and deadline-driven environment requiring the ability to build and foster relationships across the firm in order to be successful. In addition to a background in AML Compliance/Brokerage/Banking Operations, the ideal candidate should possess experience effectively managing people at different stages in their career and professional development.

  • At least 3 years of experience managing teams including complete ownership of development and performance evaluations (annual reviews).

  • At least 3 years of direct experience with AML Compliance regulations and laws.

  • Strong working knowledge of broker-dealer businesses, NASD/FINRA rules, federal securities regulations, and securities industry practices.

  • Proven ability to identify and solve complex issues in a team environment working with various levels of management and business partners.

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

  • Excellent communication, problem solving, and presentation skills to influence and build consensus among team members and leadership.

  • Strong organizational skills with ability to work on multiple assignments and complete them within established deadlines.

  • Ability to prioritize effectively in a fast paced environment and function in a professional manner under pressure.

  • Ability to plan, delegate and oversee the overall work assignments and special projects within the team.

  • Ability to generate metrics, analyze data and communicate results to management.

  • Ability to articulate Schwab's Visions and Values to team members.

  • Proficient PC skills including various platforms and applications.

  • Bachelor’s degree preferred or equivalent business experience.

The following additional qualifications are preferred:

  • CAMS, Series 7, 9/10, 63, 24.

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-2-5 yrs, Compliance

Position Located In: CO - Lone Tree

Education: HS/GED

Job Type: Full Time


Activation Date: Thursday, September 7, 2017

Expiration Date: Saturday, September 23, 2017

Apply Here