Charles Schwab Finance and Operations Compliance Director in Lone Tree, Colorado


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

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 iwere established by nvesting 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, within Corporate Risk Management, provides 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.

What you’ll do:

Our Operations and Trading Compliance Group is looking for a Director to advise our business partners in Finance with responsibility over net capital, accounting, treasury, securities lending, and financial regulatory reporting at the firm’s broker-dealer. The Director will be responsible for interpreting and advising on the requirements of new securities regulations and the regulatory compliance implications of new products and services. The Managing Director will work very closely with partners within Corporate Risk Management and Legal Services, Finance, and across the firm.

Primary functions of this role include:

  • Providing advice and guidance to business leaders responsible for supervision over net capital, accounting, treasury, securities lending, and financial regulatory reporting.

  • Interpreting and advising on the requirements of new securities regulations and the regulatory compliance implications of new products and services.

  • Interacting with securities industry regulators during examinations and responding to written inquiries related to compliance with finance regulations.

This is a Director role reporting into the Vice President of Operations and Trading Compliance.

What you have:

The following qualifications are required:

  • At least 7 years of experience in a broker-dealer compliance, or finance role with a strong working knowledge of securities industry regulations governing net capital, customer protection, and FOCUS reporting requirements.

  • Experience implementing broker-dealer policies/procedures, supervisory processes and experience applying his or her business expertise and knowledge to the development of new products and services.

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

  • Strong understanding of the role of Compliance and the relationship between Compliance and business partners.

  • Strong written, verbal, and presentation skills a must.

  • Ability to work independently and manage multiple complex issues.

  • BA/BS degree.

  • Series 27 license

This individual can work from our Denver, New York, or San Francisco locations.

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: Financial Services-6+ yrs, Regulatory, Brokerage Operations-6+ yrs, Compliance

Position Located In: IL - Chicago, CO - Lone Tree, NY - New York, CA - San Francisco, NY - New City

Education: BA/BS

Job Type: Full Time


Activation Date: Tuesday, April 24, 2018

Expiration Date: Friday, June 1, 2018

Apply Here