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Senior Manager, Compliance

4 months ago

Singapur, Singapore Charles Schwab Full time
Your opportunity

At Schwab, you're empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us "challenge the status quo" and transform the finance industry together.

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. The department performs an advisory, monitoring, testing, and education role to support management's supervisory responsibility and its efforts to achieve compliance with financial services rules and regulations, and policies of the Company.

The Senior Manager, Compliance will be empowered to support and challenge the design of international policies and control frameworks across the International Affiliates and will work closely with the Affiliate Chief Compliance Officers to help improve the businesses ensuring they fully comply with applicable U.S. and International statutory and regulatory obligations. As an Individual Contributor, the Senior Manager will have a key role in influencing the risk and compliance culture of the International Affiliate hubs, including but not limited to the financial crime prevention, risk framework, and compliance program support.

What you have

Required Qualifications:

  • 5+ years of risk, regulatory and/or compliance experience at same level in Singapore or similar jurisdiction
  • Solid understanding of compliance, financial crime, regulatory, and conduct risks, paired with detailed expertise of a wide range of financial services products and their regulatory requirements
  • Proficiency in written in English

Preferred Qualifications:

  • FINRA Series 7 and 9/10 licensed
  • Experience dealing with and influencing internal and external stakeholders at all levels
  • Ability to be professional and tactful in negotiation - to listen and be influential in achieving objectives
  • Ability to compile, analyze and interpret large amounts of information from various sources to recommend an appropriate course of action
  • Excellent written and verbal communication skills
  • Pragmatic and hands-on instigator of change
  • Independent thinker with demonstrated good judgment, problem-solving and analytical skills.
  • Comfortable with ambiguity; ability to create a clear path forward
  • Open to learning, developing & growing within the international compliance context
  • Self-motivated with the ability to engage and manage a diverse, inclusive team to bring projects and reporting to professional conclusion
  • Exhibited experience in risk or compliance while building strong working relationships on a Global Scale
  • Ability to speak/write in Chinese, Simplified Chinese is a plus

What's in it for you

At Schwab, we're committed to empowering our employees' personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you'll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you - both today and in the future:

  • 401(k) with company match and Employee stock purchase plan
  • Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
  • Paid parental leave and family building benefits
  • Tuition reimbursement
  • Health, dental, and vision insurance