Charles Schwab Manager - Compliance in Phoenix, Arizona


Phoenix - AZ, PHX4750A, 4750 E Francisco, 85044-5359

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:

(This position can be based at any of these Schwab Office Locations: Phoenix, AZ; Lone Tree, CO; or Westlake, TX). The Compliance Testing & Monitoring Manager is responsible for assisting Bank Compliance in executing the Testing and Monitoring program to evaluate the effectiveness of internal controls the Bank has established to comply with applicable regulatory requirements.

What you’ll do:

Responsibilities include, but are not limited to the following:

  • Conduct compliance testing and monitoring to evaluate the effectiveness of the internal controls the Bank has established to comply with applicable regulatory requirements for assigned areas of the review.

  • Assist in executing the annual testing and monitoring program.

  • Develop a scope and objective that includes the regulatory requirements within the Compliance Risk Assessment.

  • Complete the reviews such that they comply with the Corporate Compliance Testing Standards & Methodology and the Bank Compliance Testing & Monitoring Procedures.

  • Complete the reviews timely and adequately document the evaluation of the effectiveness of the internal controls. Maintain a strong working knowledge of federal regulations applicable to the assigned areas of the review.

  • Maintain working knowledge the CFPB Exam Procedures and OCC Consumer Compliance Exam Procedures for assigned areas of the review. Complete testing and monitoring that incorporate applicable regulatory exam procedures.

  • During testing & monitoring, identify and validate issues in order to conclude on the effectiveness of the controls to comply with Bank policy or applicable regulatory requirements.

  • Discuss potential corrective action plans with the business and provide recommendations for action plan.

  • Assist to ensure compliance issues identified from testing and monitoring program are, followed-up, and corrective action plans are properly executed to comply with Bank policy or applicable regulatory requirements.

  • Draft standard and special purpose reports which evaluate the effectiveness of the controls to ensure compliance with Bank Policy and regulatory requirements.

What you have:

The following qualifications are required:

  • 5 years, minimum, of professional work experience in Financial Services (preferably from a bank) in Bank Compliance, Bank Internal Audit or as a Bank Examiner.

  • Strong working knowledge of consumer compliance regulations.

  • Excellent attention to detail and the ability to work independently.

  • Strong written and oral communication skills.

  • Sound organization and prioritization skills.

  • Experience with MS Office products, with intermediate level experience using Excel.

  • Ability to travel 10%-25%.

  • Bachelor’s Degree or equivalent experience.

  • The following qualifications are preferred: Compliance Testing and Monitoring experience, CRCM(Certified Regulatory Compliance Manager) certification.

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.

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, TX - Westlake

Education: HS/GED

Job Type: Full Time


Activation Date: Thursday, May 11, 2017

Expiration Date: Saturday, July 1, 2017

Apply Here