Director, Compliance Department

Group Overview:   The Sales Practice and Advice Unit of the Compliance Department provides support and guidance to the firm on sales practice related initiatives and supervisory control issues, including but not limited to, issues relating to new offers, products, services or tools, as well as compensation practices.  The Unit also provides support and guidance on the firm’s research efforts.  The Unit serves as the primary Compliance resource for customer interfacing business units, and strives to coordinate the firm's sales practice and supervisory control efforts across enterprises through guidance and training.  The Unit also supports, develops, and implements consistent sales practice policies and procedures, and works with the business to put practices in place to meet sales practice regulatory obligations.


 


 


Responsibilities:


 


Responsible for providing support and guidance in all aspects of sales practice compliance, particularly as it relates to new product development and sales initiatives

Responsible for developing and maintaining strong business relationships with appropriate Schwab Investor Services business partners

Recognize, escalate and coordinate efforts with our business partners to reinforce and enhance regulatory issues and directives
Continually monitor for changes and implementation of new regulatory developments and internal initiatives


 


Qualifications:


 


Series 7, 63 and 24 licenses required (or the ability to obtain these licenses within an agreed upon time period)

Other licenses such as the Series 9/10 and 65/66 would be beneficial

Investment Advisory experience a plus


 


Key Factors for Success:


 


Strong leadership, interpersonal, communication and coordination skills are required to interact with business partners and effect change

Knowledge of industry rules and regulations, particularly NASD and SEC

Good compliance and/or regulatory experience that allows for the practical application of industry rules into a comprehensive compliance program


 


 


PLEASE NOTE:  THIS POSITION CAN ALSO BE LOCATED IN DENVER, CO OR PHOENIX, AZ.

Education: BA/BS