Charles Schwab Managing Director - BSA/AML High-Risk Accounts in Lone Tree, Colorado


Lone Tree - CO, DENR2, 9800 Schwab Way, 80124

Cameron Ellsworth


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:

Loccated within Corporate Risk Management, the Financial Crimes Risk Management team enables the Firm to grow and fulfill its mission in the face of an ever-changing risk environment. We assist all Schwab enterprises with the assessment of Bank Secrecy Act / Anti-Money Laundering / Sanctions / Fraud risk presented to business units, and are committed to complying with all laws and regulations governing the identification and reporting of suspected money laundering activities, as well as activities prohibited by OFAC laws and regulations.

The BSA/AML High-Risk Accounts team identifies, researches and regularly reviews clients that may present greater risk to Schwab. The team partners with numerous organizations, including Investor Services, Advisor Services, International, Schwab Bank and Operations, to take appropriate action to mitigate risk.

What you’ll do:

We are looking for a BSA/AML High-Risk Accounts Managing Director who can motivate, inspire and develop a diverse team responsible for performing and executing on our Organization’s purpose and mission. The leader will manage a multi-faceted team that evaluates potentially higher-risk clients and determines whether they truly present greater risk to the firm.

Key responsibilities will include:

  • 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 both business partner and regulator expectations are met, while maintaining a balance between quality and efficiency.

  • 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.

  • Challenging the status quo as appropriate to strengthen the team, the work and the organization.

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

  • Identifying & selecting talent for FCRM.

  • The Managing Director will report into the Vice President of High-Risk Accounts and manage a team of talented analysts.

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/Brokerage/Banking, the ideal candidate should possess experience effectively managing people at different stages in their career and professional development.

  • At least 10 years of experience managing teams including complete ownership of development and performance evaluations (annual reviews).

  • At least 5 years of direct experience with risk management, with experience with AML and OFAC regulations desirable.

  • Strong working knowledge of broker-dealer and/or bank businesses and securities and/or banking 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 your 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.

  • Bachelor’s degree preferred or equivalent business experience.

The following qualifications are preferred;

  • CAMS, Series 7, 9/10, and/or 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. 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 24, FINRA Series 10, FINRA Series 7, FINRA Series 9

Relevant Work Experience: Brokerage Operations-2-5 yrs, Financial Services-2-5 yrs, Risk Analysis

Position Located In: CO - Lone Tree

Education: HS/GED

Job Type: Full Time

Category:Risk Management

Activation Date: Monday, April 23, 2018

Expiration Date: Saturday, June 30, 2018

Apply Here