Charles Schwab
Senior Compliance Manager- Investment Advisory
Charles Schwab, Austin, TX
Your Opportunity
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.
We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join our team as a Senior Manager. The Senior Manager will be a key contributor to the team responsible for establishing compliance standards for all of the Schwab adviser entities and assist the Chief Compliance Officer in developing, maintaining and coordinating the Compliance Programs for Charles Schwab Investment Management, Inc. (CSIM), also known as Schwab Asset Management, and for the Schwab Funds/Schwab ETFs.
The Senior Manager will be responsible for multiple aspects of the Investment Adviser Compliance Programs created under Rule 206(4)-7 and the Investment Company Compliance Program under Rule 38(a)-1. Additional responsibilities include:
Required qualifications:
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.
We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join our team as a Senior Manager. The Senior Manager will be a key contributor to the team responsible for establishing compliance standards for all of the Schwab adviser entities and assist the Chief Compliance Officer in developing, maintaining and coordinating the Compliance Programs for Charles Schwab Investment Management, Inc. (CSIM), also known as Schwab Asset Management, and for the Schwab Funds/Schwab ETFs.
The Senior Manager will be responsible for multiple aspects of the Investment Adviser Compliance Programs created under Rule 206(4)-7 and the Investment Company Compliance Program under Rule 38(a)-1. Additional responsibilities include:
- Build relationships with Compliance, Risk and Legal Colleagues and key Business Partners
- Serve as the Subject Matter Expert on a variety of specific compliance topics
- Ensure consistency of the application of adviser compliance program topics across all of the Schwab adviser entities
- Provide advice and support for products and services offered, including mutual funds, ETFs and separately managed accounts
- Additional projects and tasks based on business need and potential coverage gaps
- Participate in cross-affiliate projects
- Support and participate in corporate reporting, regulatory exams, and internal audits
Required qualifications:
- 6 - 8+ years of experience with working knowledge of Investment Adviser compliance programs
- Advanced communication skills, both verbal and written, with the ability to express oneself clearly and influence effectively
- Ability to think strategically with sharp analytical skills and strong attention to detail and accuracy
- Ability to work independently, and within a geographically dispersed team while leading multiple complex projects
- Ability to independently find opportunities to improve and enhance the compliance program
- Ability to identify and solve complex issues in a while working with various levels of management and business partners
- Experience with writing, maintaining, and revising policies and procedures
- Proficient in Excel, Word, PowerPoint, and Outlook
- Highly effective organizational, prioritization, and time management skills
- Bachelor's degree