Senior Manager Disclosure Management Compliance

Profile

Director, Disclosure Management Compliance

The candidate will help with the creation and implementation of the Firm’s Disclosure Management Compliance program. Will coordinate administration and content of the Firm’s regulatory disclosure documents and participate in the creation, review, update and implementation of client disclosures. Disclosure content will include, but not be limited to products and services, research, marketing materials, account features, loan pricing, affiliate relationships, trade confirmations and statements, regulatory disclosures such as Forms ADV and Regulation BI Client Relationship Summaries. Collaborate with the Disclosure Management team and other Second Line colleagues, develop policies and guidelines to be followed for the ongoing maintenance and effectiveness of the Disclosure Management Compliance program. Research and remain current with the latest compliance rules and regulations and identify when and how to implement necessary changes to the program. Help identify and implement centralized and cohesive controls to ensure regulatory requirements are being met and maintain consistency in the Firm’s disclosure management activities. Use all available tools/resources to recommend and implement improvements and efficiencies that improve the overall effectiveness of the program. Ensure that the flow of work is structured so that resources are appropriately trained and applied in the most effective manner and that established performance and quality standards are met. Serve as compliance support and provide advice and guidance to the Cross-Enterprise Regulatory Communications Platform teams. Participate in the annual Compliance Risk Assessment process in accordance with corporate standards. Carry out other duties as assigned, including, but not limited to project work.

Additional Information

Requisition ID 2022-86522

Company info

Charles Schwab & Co., Inc
150 S Wacker Dr
Chicago
Illinois
United States 60606-4103
Website : https://www.schwab.com/