Compliance Director - Communications, Disclosures and Digital Services Compliance

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Compliance Director - Communications, Disclosure & Digital Services Compliance

The Charles Schwab Corporation (CSC) Corporate Compliance Department coordinates the Company's compliance efforts and performs various activities such as providing advisory support to businesses and performing assurance activities – monitoring and testing and plays an education role to support management's supervisory responsibility and its efforts to achieve compliance with the financial services industry rules and regulations and policies of the Company. Corporate Compliance administers the firm’s compliance program which has evolved to include multiple regulated entities, including multiple broker-dealers, investment advisors and bank and trust companies among others. With this evolution, the Company’s compliance program has become increasingly sophisticated and the obligations of the team's leading the program have also significantly evolved. 

The Compliance Director is a key leadership position within the Compliance organization, charged with the responsibility of setting the strategic direction of three cross-enterprise compliance programs - Communications, Disclosure & Digital Services Compliance. The core responsibilities encompass leading multiple teams and promoting an enterprise approach to maintaining sound compliance risk management.  

The successful candidate will have a deep understanding of regulatory requirements for communications with the public, disclosures and compliance risks that emanate from digital organizations in a financial institution. The services organization. The incumbent must have strong leadership experience with a demonstrated ability to oversee Compliance activities and effectively collaborate with senior stakeholders. This individual will report to the Compliance Managing Director – Chief Compliance Officer.

What you have

• Minimum 15+ years of compliance and/or risk management experience in multiple, large and complex businesses and have led cross-enterprise compliance programs.
• Series 7 & 24, preferred.
• Extensive experience in RIA and Broker/Dealer functions in both retail and institutional space and Consumer Banking experience a plus
• Knowledge of compliance risk management principles, methodologies and tools, and governance principles and activity in a financial services environment.
• Extensive technical expertise in regulatory requirements for communications with the public, disclosures and the proven ability to identify, solve and prevent regulatory issues.
• Ability to perform effectively in an ever-evolving environment and successfully address multiple competing high-priority matters.
• Proven ability to foster constructive relationships with regulatory agencies, peers at other financial institutions, business leaders, and other internal risk management leaders/groups.
• Experience working with and providing reporting and updates to senior-level management and the Board.
• Proven ability to build and maintain strong relationships with regulators, auditors, and other oversight bodies.
• Leadership experience managing others in the creation, development and management of a highly effective compliance group.
• Strong emotional intelligence/maturity and senior level executive presence.
• Exceptional leadership and collaboration credentials required, as well as demonstrated agility in thinking and approach.
• Strong problem solving and creative skills and the ability to exercise sound judgment, making decisions based on accurate and timely analyses.
• Possess strong business drivers and perspectives combined with broad management and commercial skills, and an ability to bring a strategic focus to the function and be capable of adding value to the business.
• Leverages technology to enable the business to create sustainable competitive differentiation and to create operating leverages and collaborations. Well-versed with best-in-class and emerging technologies.
• Highly responsive to client and field input to address pertinent issues and varying opportunities.
• Exceptionally client focused; able to effectively and quickly build relationships and establish trust, respect, competence and confidence.
• Base Compensation: $145,000- $280,000.  Your compensation may be different.  Talk with your Talent Advisor to learn more.  In addition to the salary range, this role is also eligible for bonus or other incentive opportunities