Mgr Operations

Group Overview

It is our goal in Regulatory Oversight (RO) to oversight the firm's
compliance with SEC Rule 15c3-3 (The Customer Protection Rule) for
securities and monitor the Schwab One and Margin Interest calculation.



Position Description

The RO manager is responsible for the supervision of 3 employees.
Duties include: project management, working with internal and
external auditors, working with Schwab technology (STech) and
ensuring adherence to firm/regulatory procedures. In this role you
will work with all levels of the organization to identify issues and
work with our business partners to implement solutions that increase
controls and streamline processes.


Requirements

5-7 years of securities or financial services industry experience
including 2-3 years in a leadership position.

Demonstrates extensive knowledge of brokerage policies and
procedures, and legal regulations; audit experience helpful

Carries out complex assignments and develops new methods and
procedures to improve controls in the group or enterprise.

Series 7, 63 required; Series 27 preferred

Utilizes high level of analytical ability to interpret complex
information and to identify innovative solutions for complex issues
across functions.


Key Factors for Success in this Role

1. The ability to interpret securities regulations. 2. Working with
business partners to analyze and provide solutions to issues
identified. 3. Written and verbal communication skills to
communicate to all levels of management.
REQUIREMENTS
securities operations