Director – Regulatory Liaison Office – Functional Regulatory
| Company | Charles Schwab |
|---|---|
| Location | Westlake, TX, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Expert or higher |
Requirements
- Bachelor’s degree or equivalent work experience.
- Experience working at a securities regulatory agency (i.e., SEC or FINRA).
- 10+ years experience in the broker-dealer industry with regulatory risk experience.
- Prior experience assessing and responding to regulatory inquiries and examinations in the financial services industry.
- Knowledge of broker-dealer and investment advisor industry regulatory practices and securities rules.
- Familiarity with Broker Dealer operations, including equity/fixed income trading and trade reporting is highly desired.
Responsibilities
- Review, research, and respond to complex inquiries received by the firm from securities and derivatives (futures/forex) regulators.
- Coordinate and manage examinations from the firm’s primary securities regulators.
- Communicate directly with regulators including managing and tracking requests for information, participating in meetings with regulators.
- Responsible for reports for senior management, and analyzing inquiries and responsive materials for trends, red flags, and issues requiring follow up.
- Collaborate exceptionally with peers in Compliance, Legal, and other functions to ensure matters and issues are handled effectively and efficiently.
- “Connect the dots” across regulators, inquiries, and examinations for the firm to effectively identify and escalate emerging enterprise-wide risks and issues.
Preferred Qualifications
- Strong interpersonal and communication skills to develop and maintain relationships with key business partners and at all levels of the firm.
- Excellent judgment and critical thinking in order to provide sound strategic advice to business partners.
- Excellent quantitative skills and expertise.
- Acting decisively in making solid, informed judgment calls in response to both the regulatory environment and the day-to-day business issues, with appropriate escalation where needed.
- Strong analytical skills, excellent attention to detail, and the ability to interpret regulations and regulatory guidance and apply them to real world business scenarios.
- Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization.
- Strong problem-solving skills and an intellectual curiosity and desire to “figure things out.”
- Demonstrating exceptional judgment as well as a broad understanding of the potential implications of actions and decisions.