Schwab Stock Plan Services
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Senior Manager, Compliance
role at
Schwab Stock Plan Services 1 day ago Be among the first 25 applicants Join to apply for the
Senior Manager, Compliance
role at
Schwab Stock Plan Services Get AI-powered advice on this job and more exclusive features. Westlake, TX ; Southlake, TX ; Austin, TX ; Chicago, IL ; Boston, MA
Requisition ID
2025-111332
Category
Legal & Compliance
Position type
Regular
Pay range
USD $90,000.00 - $200,100.00 / Year
Application deadline
2025-06-03
Apply
Your opportunity
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the firm.
The Senior Manager will join an engaging and dynamic Employee Compliance Team.This role will be responsible for supporting the execution of key components of the Employee Compliance Program including Schwab securities trading, Schwab Investment Advisers Codes of Ethics, Gifts and Entertainment and Political Contributions. This role is an individual contributor role reporting to the Director, Compliance.
Day-to-Day Responsibilities Will Include
Evaluating and analyzing employee preclearance requests, trading and disclosure activities and surveillance results for possible violation of law, regulation, firm policies or for other irregularities. Reporting monitoring and surveillance results to various governance forums. Remaining current on regulatory developments and enterprise-wide policies and procedures needed to conduct monitoring and surveillance effectively. Identifying opportunities to enhance and create efficiencies in monitoring and surveillance and support the execution and delivery of key initiatives. Developing and cultivating strong partnerships across Compliance, Legal, Corporate Risk Management, and business partners.
What you have
6-8+ years of compliance, legal and/or regulatory experience in monitoring and surveillance. Embraces an enterprise view in identifying, assessing, mitigating, measuring, and monitoring Compliance risks consistent with the Enterprise Risk Management Framework. Strong understanding and experience with implementing frameworks related to employee trading requirements (i.e. Trade Windows), Investment Adviser Codes of Ethics (i.e. preclearance and reporting) and mitigating material non-public information risks. Superior communication skills, both written and verbal, including the ability to develop concise and effective communications tailored to specific audiences. Ability to work independently and within a geographically dispersed team. BS/BA degree or equivalent work experience.
What’s in it for you
At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
401(k) with company match and Employee stock purchase plan Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions Paid parental leave and family building benefits Tuition reimbursement Health, dental, and vision insurance
Apply
Share
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Eligible Schwabbies receive
Medical, dental and vision benefits 401(k) and employee stock purchase plans Tuition reimbursement to keep developing your career Paid parental leave and adoption/family building benefits Sabbatical leave available after five years of employment
Seniority level
Seniority level Mid-Senior level Employment type
Employment type Full-time Job function
Job function Legal Referrals increase your chances of interviewing at Schwab Stock Plan Services by 2x Get notified about new Senior Compliance Manager jobs in
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Senior Manager, Compliance
role at
Schwab Stock Plan Services 1 day ago Be among the first 25 applicants Join to apply for the
Senior Manager, Compliance
role at
Schwab Stock Plan Services Get AI-powered advice on this job and more exclusive features. Westlake, TX ; Southlake, TX ; Austin, TX ; Chicago, IL ; Boston, MA
Requisition ID
2025-111332
Category
Legal & Compliance
Position type
Regular
Pay range
USD $90,000.00 - $200,100.00 / Year
Application deadline
2025-06-03
Apply
Your opportunity
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the firm.
The Senior Manager will join an engaging and dynamic Employee Compliance Team.This role will be responsible for supporting the execution of key components of the Employee Compliance Program including Schwab securities trading, Schwab Investment Advisers Codes of Ethics, Gifts and Entertainment and Political Contributions. This role is an individual contributor role reporting to the Director, Compliance.
Day-to-Day Responsibilities Will Include
Evaluating and analyzing employee preclearance requests, trading and disclosure activities and surveillance results for possible violation of law, regulation, firm policies or for other irregularities. Reporting monitoring and surveillance results to various governance forums. Remaining current on regulatory developments and enterprise-wide policies and procedures needed to conduct monitoring and surveillance effectively. Identifying opportunities to enhance and create efficiencies in monitoring and surveillance and support the execution and delivery of key initiatives. Developing and cultivating strong partnerships across Compliance, Legal, Corporate Risk Management, and business partners.
What you have
6-8+ years of compliance, legal and/or regulatory experience in monitoring and surveillance. Embraces an enterprise view in identifying, assessing, mitigating, measuring, and monitoring Compliance risks consistent with the Enterprise Risk Management Framework. Strong understanding and experience with implementing frameworks related to employee trading requirements (i.e. Trade Windows), Investment Adviser Codes of Ethics (i.e. preclearance and reporting) and mitigating material non-public information risks. Superior communication skills, both written and verbal, including the ability to develop concise and effective communications tailored to specific audiences. Ability to work independently and within a geographically dispersed team. BS/BA degree or equivalent work experience.
What’s in it for you
At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
401(k) with company match and Employee stock purchase plan Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions Paid parental leave and family building benefits Tuition reimbursement Health, dental, and vision insurance
Apply
Share
Facebook LinkedIn Twitter Email
Eligible Schwabbies receive
Medical, dental and vision benefits 401(k) and employee stock purchase plans Tuition reimbursement to keep developing your career Paid parental leave and adoption/family building benefits Sabbatical leave available after five years of employment
Seniority level
Seniority level Mid-Senior level Employment type
Employment type Full-time Job function
Job function Legal Referrals increase your chances of interviewing at Schwab Stock Plan Services by 2x Get notified about new Senior Compliance Manager jobs in
Boston, MA . Boston, MA $175,000.00-$250,000.00 2 weeks ago Compliance Operations Lead, Associate Director
Boston, MA $153,600.00-$241,340.00 4 days ago Senior Director, Clinical Compliance / Inspection Readiness
Director, Clinical Compliance and Documentation
Director, Clinical Compliance and Documentation
Director of Healthcare Compliance, Strategy and Medical Billing
Senior Manager / Associate Director, Clinical Quality Assurance (no agencies please)
Director of Training and Compliance (DCS)
Senior Manager, Quality, Experience and Radiology Services
Director, Advertising and Promotional Compliance, US
Boston, MA $140,000.00-$175,000.00 Just now Associate Director, Clinical Research, Value & Evidence Generation, US Medical
Lexington, MA $153,600.00-$241,340.00 4 days ago Head of Engineering Projects and Controls
Boston, MA $104,383.00-$130,479.00 6 days ago Associate Director, Clinical Research, Value & Evidence Generation, US Medical
Sr. Director, Global Integrity & Compliance
Ethics & Compliance Business Partner, Global Corporate Functions
Cambridge, MA $174,500.00-$274,230.00 5 days ago U.S. Ethics & Compliance Transparency Operations Manager
Lexington, MA $111,800.00-$175,670.00 4 days ago Boston, MA $120,000.00-$125,000.00 3 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr