Employee monitoring: Your employees' experience.

Help employees manage their compliance responsibilities.

Compliance Solutions provides you with the tools you need to help your employees manage their compliance responsibilities efficiently. Our user-friendly technology and robust brokerage solutions help simplify the compliance experience so it's easier for both employees and administrators.

Take a closer look at the experience:


Financial solutions

Financial solutions

Easy online account opening facilitated by a blanket authorization letter.

Employees can easily open brokerage accounts online. Employee brokerage accounts are automatically linked to your firm's master account.

Reduce risks with brokerage solutions designed for easy monitoring.

Through Schwab Designated Brokerage Services, you can offer your employees a wide range of investment products, managed solutions, and services. Using Schwab for these accounts and Schwab Compliance Technologies for your compliance services allows you to proactively monitor employee trades and help prevent mistakes before they occur. Your employees also get access to deposit and lending from Charles Schwab Bank, and based on their overall relationship with Schwab may qualify for preferred pricing on lending products.


Satisfaction Guarantee

  • $0

    Online listed equity trades and $0 options commissions + $0.65 per contract1

  • Satisfaction Guarantee

    At Schwab, we believe every investor deserves to work with a firm they can count on. Our commitment to your satisfaction is backed by a guarantee.2

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