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 industry
• Building high-performing teams
• Oversee advanced matters and complex case investigations
• Manage large-scale, ad-hoc research projects involving RIAs and their Principals and/or Agents
• Lead and direct complex projects to achieve project goals
• Engage with key business partners within the firm
• Coordinate daily workflows
• Coach/train individuals on the team’s processes and procedures
• Lead efforts to further develop the team’s organizational infrastructure and operational procedures
• Review and approve Suspicious Activity Reports (SARS)
• Interact with leadership and law enforcement on advanced investigative matters
• Ability to energize team members to create a positive and engaging environment

Required Qualifications:

• RIA Industry Knowledge 
• Complex investigative experience
• 8+ years of professional experience working in a fraud, compliance or risk environment of the RIA industry
• 3+ years of people management experience building exceptional teams
• Strong written and verbal communication skills
• Experience in planning and implementing systematic management controls, especially those involving regulatory risk such as, fraud case management
• Ability to maintain strict adherence to regulatory guidance regarding filings related to fraud as well as internal compliance standards and guidelines
• An understanding of the Investment Advisers Act of 1940
• Ability 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 risks
• Strong analytical, investigative methodology and problem-solving skills
• Experience utilizing a risk-based approach to prioritize risks, identifying avenues to detect issues, and developing processes to resolve them
• Implement effective controls to mitigate the risks
• Proven success working across entities with complementary teams to develop impactful solutions and results
• Demonstrated ability to analyze issues and develop plans on a systemic level, thinking through potential connections and impact across complex entities
• Exceptional client focus; ability to effectively and quickly form relationships and establish trust
• Results-oriented, able to quickly sort through information and develop concise and clear strategies and solutions
• Strong conceptual, strategic and tactical planning and communication skills and effective establishment of and commitment to business goals
• BS/BA degree

Preferred Qualifications:

• Series 7, 8, 9, 10 and/or 24 desired