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.
Financial Crimes Risk Management (FCRM) is a division of Corporate Risk Management and is committed to following all laws and regulations governing the identification and reporting of suspicious activity. FCRM’s goals are to safeguard the firm’s assets and make Charles Schwab the most trusted leader in the financial services industry.
One of the teams within FCRM is the Advisor Services Fraud, Surveillance & Investigations Team. This team is seeking a Senior Team Manager for Advisor Services Investigations. This role will provide high level knowledge and expertise on matters relating to fraud in the Registered Investment Advisor (RIA) space. The Senior Team Manager will have responsibility and accountability for leading a team of investigators, including the quality and effectiveness of the investigative process.
What you are good at:
Leadership of an investigations team performing reviews in the RIA industryBuilding high-performing teams Oversee advanced matters and complex case investigationsManage large-scale, ad-hoc research projects involving RIAs and their Principals and/or AgentsLead and direct complex projects to achieve project goalsEngage with key business partners within the firmCoordinate daily workflows Coach/train individuals on the team’s processes and proceduresLead efforts to further develop the team’s organizational infrastructure and operational proceduresReview and approve Suspicious Activity Reports (SARS)Interact with leadership and law enforcement on advanced investigative mattersAbility to energize team members to create a positive and engaging environment What you haveRequired Qualifications:
8+ years of professional experience working in a fraud, compliance or risk environment of the RIA industry Investigative experience preferred 3+ years of management experience building exceptional teamsStrong written and verbal communication skillsExperience in planning and implementing systematic management controls, especially those involving regulatory risk such as, fraud case managementAbility to maintain strict adherence to regulatory guidance regarding filings related to fraud as well as internal compliance standards and guidelinesAn understanding of the Investment Advisers Act of 1940Ability to think ahead of the threat, identify evolving fraud, and compliance risks in the Investment Adviser landscape Collaborate with business units, risk & compliance to develop and execute a strategic plan to mitigate the identified risksStrong analytical, investigative methodology and problem-solving skillsExperience utilizing a risk-based approach to prioritize risks, identifying avenues to detect issues, and developing processes to resolve themImplement effective controls to mitigate the risksProven success working across entities with complementary teams to develop impactful solutions and resultsDemonstrated ability to analyze issues and develop plans on a systemic level, thinking through potential connections and impact across complex entitiesExceptional client focus; ability to effectively and quickly form relationships and establish trustResults-oriented, able to quickly sort through information and develop concise and clear strategies and solutionsStrong conceptual, strategic and tactical planning and communication skills and effective establishment of and commitment to business goalsBS/BA degreePreferred Qualifications:
Series 7, 8, 9, 10 and/or 24 desired 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
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