Sr Compliance Statistical AnalystCharles Schwab & Co., Inc - Chicago, IL
Job ID: 0316-39468
Chicago - IL, BRILLP, 150 S Wacker Dr, 60606-4111
We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every clients goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of own your tomorrow every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.
As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.
In Compliance, we help our Business Partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the Firm. We accomplish this through providing advice and guidance to our business partners regarding the applicability of rules and regulations; advice on policies, procedures and controls; reviewing advertising and communications with the public; and employing a variety of surveillance technologies and analytics.
What youll do:
The Compliance Surveillance & Technology Analytics Group currently has a Senior Manager level position available that will be based in Chicago. The Senior Manager will leverage his or her knowledge of data analysis, mining/or modeling to enhance the Departments current surveillance, analytics and reporting capabilities. Within the position you will work closely with team members to:
* Conduct statistical analyses for ongoing Compliance reporting processes
* Develop advanced metrics, reports, and/or dashboards specific to ongoing activities across the firms broker dealer and investment advisor affiliates
* Improve and enhance various transaction monitoring systems and other surveillance processes, particularly in the area of Compliance
* Develop additional monitoring/surveillance methodologies for corporate compliance needs
* Provide ad hoc reporting and statistical analysis of large datasets
What you have:
Required skills and experience
* 3 years of experience (or 2 years advanced degree course-work) in statistical data analysis and modeling
* Bachelors or advanced degree in Statistics, Mathematics, or equivalent.
* Ability to review, summarize, and analyze data via standard statistical methods as well as to develop new, analytical solutions relative to the specific requirements and datasets of interest
* Experience with SQL, Oracle PL/SQL, TOAD for Oracle, R, VBA, Python, Teradata, or comparable
* Excellent verbal and written communication skills
* Knowledge of financial services and/or broker-dealer business operation is helpful
* Strong analytical and organizational skills with a demonstrated ability to successfully collaborate with technical teams and business partners
* Self-motivated; willingness to learn additional skills and gain expertise in a wide variety of Compliance areas
What youll get:
* Comprehensive Compensation and Benefits package
* Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
* Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
* Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
* Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
* Not just a job, but a career, with an opportunity to do the best work of your life
Learn more about Life@Schwab.
Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwabs policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at ************. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwabs hiring decisions. All other submissions should be performed online.
Relocation Offered? No
Work Schedule Days
Languages English - spoken
Current Licenses / Certifications None
Relevant Work Experience Analyst/Strategy-2-5 yrs, Risk Analysis
Position Located In IL - Chicago
Job Type Full Time
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18 days 4 hours ago
applySr Compliance Statistical Analyst Charles Schwab & Co., Inc - Chicago, IL, United States
The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC, offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products. Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Schwab. Independent investment advisors are not owned, affiliated with, or supervised by Schwab. Schwab Retirement Plan Services, Inc. and Schwab Retirement Plan Services Company provide recordkeeping and related services with respect to retirement plans. Charles Schwab received the highest numerical score in the J.D. Power 2016 Full Service Investor Satisfaction Study, based on 6,006 responses from 20 firms measuring opinions of investors who used full-service investment institutions and we are surveyed in January 2016. To arrive at the top 50 Most Admired Companies overall (our “All-Stars”), Korn Ferry Hay Group asked 4,000 executives, directors, and securities analysts who had responded to the industry surveys to select the 10 companies they admired most. They chose from a list made up of the companies that ranked in the top 25% in last year’s surveys, plus those that finished in the top 20% of their industry. Anyone could vote for any company in any industry. The difference in the voting rolls is why some results can seem anomalous. For example, St. Jude Medical ranks No. 40 on the overall Most Admired list, returning after a two-year hiatus. But within the medical products and equipment subgroup, St. Jude Medical, based on its peers’ responses, missed the “Industry Standouts” cut by ranking in the bottom half of the group. (0416-EXLH) Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law.
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