Futures Sales Practice Compliance Manager
Charles Schwab Corporation - Chicago, IL

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Job ID: 0124-11508

Charles Schwab has been a leader in financial services for nearly four decades, working to make investing more affordable, accessible and understandable to all. Driven by our purpose to champion every client’s goals with passion and integrity, we’re committed to providing an environment that respects and appreciates the diversity of our employees, our clients, and the communities we serve. Our goal, as seen through clients'' eyes, is that Schwab continuously improves on being a premier financial service provider through best in class service, technology, products, people and advice.

Organizational Objective/Purpose:
The Compliance Department, within Corporate Oversight, provides advice and guidance to our business partners regarding the applicability of rules and regulations; advice on policies, procedures and controls; reviewing advertising and other communications with the public.

This role will support optionsXpress, a subsidiary of The Charles Schwab Corporation, which provides dedicated support to clients on the derivatives’ and options trading platforms,

Brief Description of Role:
The Corporate Oversight organization is looking for a motivated individual to sit onsite at optionsXpress and support the Compliance team. This is an individual contributor role and will report to the Senior Compliance Manager of optionsXpress.

This individual will be responsible for providing advice and guidance to business management regarding futures sales practice compliance as it relates to retail clients. This may include advice on policies and procedures and controls, guidance on new products and/or services and on changes in the regulatory environment.

Daily responsibilities include responding to regulatory requests for information; providing large trader identifications, handling futures registration matters, and reviewing promotional material.

Technical/Functional Qualifications:
Candidates must possess:
  • At least 3 years of Compliance experience in the financial services industry with a solid understanding of futures and a working knowledge of Futures and Forex Rules, federal securities regulations and securities industry practices. Ideally, at least 5 years of professional work experience.
  • Excellent communication skills.
  • The ability to work and prioritize independently.
  • The ability to work on multiple projects based on regulatory risk and business needs.
  • A bachelor''s degree (required) and Series 3 and 34 licenses (preferred, but willing to make a condition of employment).
Job Specifications:
Relocation Offered? No
Work Schedule Days
Languages English - spoken
Current Licenses / Certifications NFA Series 34, FINRA Series 3
Relevant Work Experience Brokerage Operations-2-5 yrs, Financial Services-2-5 yrs
Position Located In IL - Chicago
Education BA/BS
Job Type Full Time

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The Charles Schwab Corporation (NYSE: SCHW) has been a leader in financial services for more than three decades. Through advocacy and...