Investment Management l Retirement Plan l Charles Schwab
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Compliance Solutions helps drive risk and cost out of employee monitoring.

Compliance officers manage a range of different risks and costs. From risk that stems from employee actions to threats to the integrity of your data, Compliance Solutions can help you protect your firm and your employees.

Compliance Solutions does this by empowering firms with a comprehensive suite of automated compliance technology, designated brokerage services, and a wide range of financial products and services for employees.

Protect your two greatest assets: Your reputation and your people

Increase oversight and tighten your control environment.

A compliance program is about more than simply keeping up with daily tasks—it’s an opportunity to mitigate risk and streamline operations.

Tighten controls with automated, intelligent technology.

We offer automated, cloud-based technology solutions for a full range of employee-monitoring tasks—including personal trade monitoring; management of affirmations, disclosures, and compliance activities; a case management tool to help keep compliance projects on track; and gifts, entertainment, and contributions tracking.

Help protect against potential trade violations*.

Schwab Trade Check™ automates the pre-clearance process and helps protect against potential trading violations by automatically matching employee trade attempts on the Schwab brokerage platform against a pre-set list of rules and within seconds approves the transaction or denies it. When a prohibited trade is attempted, the system alerts compliance administrators so they can review the issue.

Foster company-wide transparency.

Compliance is all about insight. This includes the insight a compliance officer has into employee actions, as well as the employees' understanding what’s expected of them. Our approach and holistic offering can help you put everyone on the same page.

Save time and expense by automating and simplifying necessary compliance tasks.

Our employee-monitoring technology makes it easy to automate pre-clearance and transaction review, gift and contribution logs, and email alerts for employees. It can also help streamline your data feeds and data access.

Eliminate the need for new technology as your compliance program evolves.

Because our technology is built to grow with your firm, you won’t need to purchase or implement additional solutions as your program changes or your firm grows.

Provide an enhanced employee experience and build long-term value across the entire organization.

Our user-friendly technology platforms make it easy for employees to execute trades and stay in compliance. We also offer a full range of Schwab financial products and services to help employees achieve their financial goals.

Reduce the need for pre-clearance with Schwab Trade Check™*.

Schwab Trade Check™ alerts employees within seconds if a trade can be executed or not.

Make it easier for employees to comply.

Our user-friendly, automated employee-monitoring technology enables employees to spend less time pre-clearing, entering gifts and affirmation information, and responding to questionnaires.

Help employees understand what’s expected of them.

Complying becomes more manageable when employees can easily see and respond to alerts, questionnaires, and calendared items. That transparency helps employees understand their role in adhering to the compliance program.

Give your employees access to the information and tools that can help them succeed in any stage of their financial life.

  • Preferred pricing on the full spectrum of Schwab financial products and services.
  • Access to advice that fits their investing style—from ongoing advice to occasional guidance to support for investing on their own.
  • 24/7 customer service and additional educational resources such as market commentary, research, and workshops.

With Compliance Solutions, you can expect guidance and support to help you succeed. We offer:

  • A large team of dedicated professionals to help you at every phase of planning and implementation and to discuss future needs as your program evolves.
  • Intelligent technology to help you stay ahead of the evolving complexities of employee monitoring.
  • Regional and national industry events where you can learn about best practices and the latest trends and hear ideas from thought leaders.
  • Schwab’s knowledge of the individual investor from more than 40 years in financial services.

We believe an employee-monitoring program can be about more than simply keeping up—that it’s an opportunity to get ahead, tighten your control environment, promote a positive employee experience, and build long-term value across your entire organization. Let us show you how.


If you’d like to find out more about Compliance Solutions

call 877-456-0777.


Learn more

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