Welcome page Returning Candidate? Log in Manager Regulatory Reporting Job Locations US-CO-Lone Tree | US-NE-Omaha Requisition ID 2025-107119 Posted Date 5 hours ago(1/22/2025 8:38 PM) Category Finance & Accounting Salary Range USD $90,000.00 - $200,100.00 / Year Application deadline 2/3/2025 Position Type 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.

 

As part of Corporate Controller Unit, Broker-Dealer Regulatory Reporting is responsible for preparing, filing, and reviewing Charles Schwab Corporation’s broker-dealer Charles Schwab & Co., Inc. (CS&Co.) legal entity’s financial and operational regulatory reports.  These reports include filing the monthly Financial and Operational Combined Uniform Single (FOCUS) report and other supplemental filings to FINRA/SEC as well as certain Treasury International Capital (TIC) to the Federal Reserve.  In addition, the department calculates and files the daily Segregation requirements to the NFA for Charles Schwab Corporation’s futures and foreign exchange entity, Charles Schwab Futures and Forex LLC.  The department is responsible for calculating the weekly and month-end deposit/withdrawal amount in compliance with the customer protection SEA Rule 15c3-3 as well maintaining compliance with SEA Rule 15c3-1 Net Capital rule.

What you have Undergraduate degree in Accounting or Finance3-5 years in accounting or reporting related experienceStrong team player with ability to further partnership with various stakeholdersExcellent attention to detail with high degree of accuracyStrong analytical and organizational skillsAbility to work independently in a fast-paced environment with tight fitting deadlinesRelies on experience and judgement to plan and accomplish goals

What you'll do:

Prepare and/or review weekly Customer Reserve computation in compliance with SEA Rule 15c3-3Prepare and/or review Net Capital computations in compliance with SEA Rule 153-1FOCUS report review and analysisAssess the impact of new client initiatives on existing regulatory filings and proceduresReview proposed regulations and articulate potential impacts to finance and business leadershipPrepare the daily Segregation requirement to the NFAProvide support during on-site or remote examinations from the entity’s regulators (FINRA/SEC, NFA)Review reporting and operational processes to increase efficiency, effectiveness and compliance with 17a-5 and SOX requirements

In addition to the salary range, this position is also eligible for bonus or incentive opportunities 

Options Apply for this jobApplyShareRefer a friendRefer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.

 

Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future.   Application FAQs

Software Powered by iCIMS
www.icims.com