The Compliance Regulatory Group (CREG): CREG handles the firm’s relationships with its regulators, including the SEC, FINRA, NFA, international and state securities regulators. CREG responds to regulatory inquiries and leads regulatory examinations.
What you’re good at
- Review, research and respond to complex inquiries, including inquiries relating to Senior and Vulnerable Investors, received by the firm from securities regulators while collaborating with legal, risk management, and business partners.
- Analyze inquiries and responsive materials for trends, red flags, and issues requiring follow up.
- Provide guidance and perform quality assurance reviews to ensure that responses completed by less senior team members are timely, completely, and accurately addressed.
- Execute periodic tasks associated with inquiry handling such as tracking inquiries, or developing reports for senior management.
- Evaluate needs and parameters of the inquiry management process and make recommendations as to the effectiveness and adequacy of certain internal controls, policies, procedures and systems of supervision.
- Assist as necessary with securities regulatory examinations in concert with the CREG Managing Director.
What you have
- Bachelor’s degree required, with a minimum 10 years relevant experience in regulatory compliance with a Broker/Dealer, in-house legal department, or regulatory agency. A JD is preferred.
- Knowledge of broker-dealer industry regulatory practices and securities rules, as well as internal processes, practices, and proceedings at SEC/FINRA.
- Strong analytical skills, excellent attention to detail, and the ability to interpret regulations and regulatory guidance and apply them to real world business scenarios.
- Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization.
You demonstrate these behaviors:
- Outstanding judgment as well as a broad understanding of the potential implications of actions and decisions.
- Act conclusively in making solid, informed judgment calls in response to both the regulatory environment and the day-to-day business issues, with appropriate advancement where needed.
- Work collaboratively with various groups with potentially disparate objectives.
Teammate willing to cross-train and assist with CREG activities beyond inquiries.
- Ability to effectively balance multiple conflicting priorities with associated deadlines.
At Schwab, “Own Your Tomorrow” embodies everything we do! We are committed to helping our employees unleash their potential and achieve their dreams. Our employees get to play a central role in disrupting a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. We’re a modern financial services firm that stands apart from the industry, where you can go as far as your ambition takes you.
Hear from employees: What’s it like to work at Schwab!
The benefits of working at Schwab: a package designed to empower your health, wealth, career and life. Schwab is committed to building a diverse and inclusive workplace where everyone feels valued.
As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. (Please click here to see policy.)
Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace.
We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.
Please reach out to Ariel Veroske, Talent Acquisition with any questions. Ariel.firstname.lastname@example.org