Manager, Regulatory Complaint Response and Monitoring

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. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location(s).

 

The Compliance Department plays a critical role in supporting Schwab’s commitment to integrity, risk management, and regulatory excellence. As a Compliance Manager supporting the Complaints Risk Management team, you will help strengthen complaint oversight, regulatory response activities, and monitoring programs that identify emerging risks across products, services, and business processes.

 

This role combines analytical thinking, regulatory expertise, and cross-functional collaboration to drive timely issue identification, data quality, reporting accuracy, and risk mitigation. Working closely with business partners, compliance stakeholders, and leadership, you will analyze complaint trends, assess adherence to complaint management standards, support regulatory inquiries, and help implement process improvements that enhance efficiency and controls. Your ability to solve complex problems, influence outcomes, and translate data into meaningful insights will directly support Schwab’s commitment to delivering positive client experiences while maintaining a strong compliance culture.

What you have

Required Qualifications:

• Bachelor's degree or equivalent experience.

• Series 7 license.

• 5+ years of experience in Compliance, Risk Management, Supervision, Complaint Management, Regulatory Relations, or a related control function.

• Strong understanding of client complaint handling, escalation, documentation, and regulatory reporting requirements.

• Ability to influence stakeholders and communicate effectively across all levels of the organization.

• Demonstrated analytical, problem-solving, and investigative skills.

Preferred Qualifications:

• Series 9/10 license.

• Working knowledge of consumer protection and consumer financial services laws and regulations including but not limited to the Equal Credit Opportunity Act (Regulation B), Fair Credit Reporting Act, Unfair Deceptive and Abusive Acts or Practices, Servicemembers Civil Relief Act (SCRA), Electronic Funds Transfer Act (Regulation E) and privacy.

• Working knowledge and understanding of FINRA and SEC rules and guidance, particularly related to complaints and the product and problem codes used to identify potential compliance issues coming from complaints.

• Strong analytical, investigative and problem-solving skills.

• Strong verbal and written communication skills, with the with the ability to communicate and work with all employee levels, including senior management.

• Ability to handle multiple conflicting priorities in a fast-paced environment.

• Curious and innovative with proven ability to independently identify opportunities for improvement and execute enhancements.

• Proficient in the use of Microsoft Office including Word and PowerPoint and SharePoint. 

You demonstrate these behaviors:

• Analytical Thinking: Approaching a problem by using a logical, systematic, sequential approach.

• Building Collaborative Relationships: The ability to develop, maintain, and strengthen partnerships with others inside or outside of the organization who can provide information, assistance, and support.

• Thinking Broadly: Understanding how risks and solutions may impact all business units and functions across CSC.