Charles Schwab Trade Surveillance Manager in Chicago, Illinois


Chicago - IL, BRILLP, 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:

The Compliance Department monitors certain customer activities identified through vendor and in-house surveillance systems in its efforts to achieve compliance with financial services industry rules and regulations. Team members will also play a key role in advising the AML/Fraud team on any possible market manipulation that might result from their surveillance reviews.

What you’ll do:

Our Sales Practice Surveillance Group within Compliance is looking for a Manager to support our partners with responsibility over sales practice surveillance related activities at the Firm. The Manager will also assist with the design, implementation, and supervision of sales practice surveillance. The Sales Practice Surveillance Manager will work very closely with partners within the Compliance Department and across the Firm. Primary functions of this role include implementing and monitoring surveillance over sales practice activities. This is an individual contributor role reporting into the Managing Director of Sales Practice Surveillance.

Core Job Functions:

  • Perform Compliance Discovery Reviews relating to regulatory developments/expectations, Firm products or services, and/or compliance risk areas.

  • Participate in the design and implementation of surveillance scenarios within the InSight supervision and surveillance tools.

  • Perform reviews of existing and/or new surveillance alerts and reports.

What you have:

  • At least 3 years of experience in the financial services industry with a strong working knowledge of securities industry regulations governing sales practice and broker-dealer.

  • Knowledge of CBOE rules, CFTC rules, FINRA rules, federal securities regulations, and securities industry practices.

  • Working knowledge of US and OTC equities, equity and index options, and futures.

  • Experience with surveillance systems.

  • Strong written and verbal communication skills

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

  • Ability to work independently, manage multiple complex projects, and provide prompt analysis.

  • Investment Advisor experience is a plus.

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: None

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

Position Located In: IL - Chicago, AZ - Phoenix, FL - Orlando, CA - San Francisco

Education: HS/GED

Job Type: Full Time


Activation Date: Friday, June 29, 2018

Expiration Date: Saturday, July 21, 2018

Apply Here