Compliance Director: Exchange Trading
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. This is an opportunity to become a member of a robust Compliance team giving to the maturity of the compliance program for our rapidly growing multi-legal entity organization. This position is the chance to partner with the Trading Operations team by providing ongoing advice and ensuring that compliance risks at both our broker-dealers are understood and addressed.
What you are good at
A successful Director in Functions Compliance will deliver guidance on the applicability of rules and regulations relevant to regulatory changes, new products, development and enhancement of policies, procedures, supervisory systems, training, and controls. This individual is challenged to provide a clear, independent risk management perspective in line with the firm’s overall risk appetite and develop a strong understanding of the business products, services, processes, and objectives. The Director will also build strong relationships with within the Functions Compliance team as well as members of the other Corporate Risk Management teams and Corporate Legal Services.
The Director will spend their time researching specific rules and regulations and providing verbal and written guidance in response to requests from the business, from fellow Compliance colleagues, or as the result of inquiries from regulators and internal reviews. Other responsibilities include being an active participant in working groups in support of business initiatives, reviewing, documenting, and communicating to your business partners applicable rule changes, and evaluating risks and controls as part of the dynamic compliance risk assessment process.
Success is evidenced by the partnerships you build, and the identification, advancement, and management of compliance risks in support of Trading Operations. An ability to quickly react and adapt to new challenges with passion is a must, including a willingness to tackle complicated issues that cross legal entities and to influence business partners within and outside of your organization.
What you have
- 10 years experience in financial services with at least 5 years in trading compliance.
- Strong working knowledge of industry regulations governing trading and trading operations, including, best execution, market access and trade reporting and order handling.
- Experience implementing policies/procedures, supervisory processes, and applying compliance guidance
- Shown ability to identify and solve sophisticated issues in a team environment working with various levels of management and business partners.
- Accomplished at interacting with regulators
- 55 license required
- Four-year undergraduate degree or similar work experience in the brokerage industry
- Series 7, 24 license
Why work for us?
Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.
Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further.
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TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.