Charles Schwab Sr Compliance Examiner in Chicago, Illinois


Chicago - IL, IL150SW, 150 S Wacker Dr, 60606-4111

Debra Andrea Mandell


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:

Within our Compliance Department, our Retail Testing & Monitoring team is responsible for conducting various types of testing as defined by each Compliance Program that the testing supports. Each Program follows the standards identified in the Corporate Compliance Testing Standards and Methodology.

What you’ll do:

We are looking for a Senior Compliance Examiner to support our dynamic Retail Testing & Monitoring Team. This Senior Manager level position will be primarily focused on conducting testing to evaluate the effectiveness and adequacy of certain internal controls, policies, procedures and systems of supervision designed to achieve and/or monitor compliance with applicable regulatory requirements. They will also be responsible for partnering on exams with other Compliance testing programs and contributing to the success of the broader Compliance/Risk Department. The Senior Compliance Examiner will be an individual contributor and report to the Managing Director of Retail Testing & Monitoring.

Specifically, the Examiner will:

  • Conduct all required testing and report results of testing to business unit management.

  • Identify underlying patterns, trends or themes.

  • Documenting testing activities and maintaining Firm records.

  • Keep current on rules, regulations and policies necessary to effectively and adequately conduct testing.

  • Follow up on testing observations reported to business unit management and complete the action plan validation.

  • Escalate status of testing as warranted.

  • Perform other duties and special projects as assigned.

The Senior Compliance Examiner may visit various Schwab locations including headquarters, service centers, and branches to conduct examinations. Travel may fluctuate based on current projects and examinations; however this role typically does not travel more than once a quarter for examinations.

What you have:

The following qualifications are required:

  • Bachelor’s degree and 5 years minimum of compliance experience, preferably testing experience.

  • FINRA Series 7 license.

  • Working knowledge of industry rules, regulations and practices (particularly FINRA, NFA and SEC rules).

  • Prior experience in assessing procedures and developing a testing process.

  • Strong written and research skills with the ability to prioritize tasks.

  • Strong communication, coordination, and negotiation skills.

  • Good PC skills including Word and Excel

  • Excellent writing skills, including the ability to write concise reports.

The following qualifications are preferred:

  • Additional FINRA licensure including: Series 9/10, 24 and/or 63.

  • Experience working at a regulatory agency and/or broker-dealer.

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. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab's hiring decisions. All other submissions should be performed online.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: FINRA Series 7

Relevant Work Experience: Brokerage Operations-2-5 yrs, Financial Services-2-5 yrs, Regulatory, Compliance

Position Located In: TX - Austin, IL - Chicago, AZ - Phoenix, TX - Westlake

Education: BA/BS

Job Type: Full Time


Activation Date: Monday, April 30, 2018

Expiration Date: Friday, June 1, 2018

Apply Here