Senior Manager, Compliance Reporting & Governance
Welcome to Charles Schwab, where we believe in helping our clients achieve their financial goals through innovation, integrity, and trust. We are currently seeking a highly skilled and experienced Senior Manager to join our Compliance team and oversee our reporting and governance processes. As a Senior Manager, you will play a critical role in ensuring our company meets all compliance requirements and maintains a strong culture of ethical and responsible conduct. If you have a strong background in compliance and a passion for promoting good governance practices, we invite you to apply for this exciting opportunity.
- Oversee and manage all reporting and governance processes within the company, ensuring compliance with all regulatory and legal requirements.
- Develop and maintain internal policies and procedures to ensure compliance with industry standards and best practices.
- Monitor and analyze regulatory changes and updates to ensure the company remains in compliance at all times.
- Collaborate with cross-functional teams to implement and maintain effective compliance programs and controls.
- Conduct risk assessments and identify potential compliance issues, providing recommendations for corrective action.
- Train and educate employees on compliance policies, procedures, and best practices, fostering a strong culture of ethical and responsible conduct.
- Regularly communicate with senior management and provide updates on compliance issues, risks, and initiatives.
- Lead and participate in internal and external audits, responding to inquiries and providing necessary documentation.
- Stay up-to-date on industry trends and best practices, continuously seeking ways to improve and strengthen the company's compliance efforts.
- Serve as a point of contact for regulatory agencies and act as a liaison between them and the company.
Extensive Knowledge Of Compliance Regulations: A Senior Manager, Compliance Reporting & Governance At Charles Schwab Should Have A Deep Understanding Of All Relevant Compliance Regulations, Including Sec, Finra, And State Regulations.
Strong Leadership Skills: This Role Requires Managing A Team Of Compliance Professionals, So A Senior Manager Should Have Strong Leadership Skills, Including The Ability To Motivate And Guide Team Members.
Experience In Financial Services Industry: Charles Schwab Is A Financial Services Company, So A Senior Manager Should Have Previous Experience In The Industry, Preferably In A Compliance Role.
Excellent Communication And Interpersonal Skills: With Responsibilities That Include Working With Internal Stakeholders And Communicating With Regulators, A Senior Manager Should Possess Excellent Communication And Interpersonal Skills.
Attention To Detail And Analytical Mindset: This Role Involves Analyzing Large Amounts Of Data And Ensuring Accuracy In Compliance Reporting, So A Senior Manager Should Have A Strong Attention To Detail And An Analytical Mindset.
Risk Management
Financial Reporting
Process Improvement
Data Analysis
Internal controls
Team Leadership
Audit management
Regulatory compliance
Policy Development
Compliance Oversight
Governance Framework
Training And
Communication
Conflict Resolution
Emotional Intelligence
Leadership
Time management
Interpersonal Skills
creativity
Teamwork
Adaptability
Problem-Solving
According to JobzMall, the average salary range for a Senior Manager, Compliance Reporting & Governance in Southlake, TX 76092, USA is between $110,000 and $140,000 per year. This may vary depending on the specific company, industry, and level of experience of the individual.
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Through its operating subsidiaries, The Charles Schwab Corporation (NYSE: SCHW) provides a full range of securities brokerage, banking, money management and financial advisory services to individual investors and independent investment advisors. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (member SIPC, www.sipc.org), and affiliates offer a complete range of investment services and products including an extensive selection of mutual funds; financial planning and investment advice; retirement plan and equity compensation plan services; compliance and trade monitoring solutions; referrals to independent fee-based investment advisors; and custodial, operational and trading support for independent, fee-based investment advisors through Schwab Advisor Services.
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