Senior Compliance Analyst - Charitable

 •  Charles Schwab Lone Tree, CO

5 - 7 years experience  •  Financial Services

Salary depends on experience
Posted on 08/01/17
Lone Tree, CO
5 - 7 years experience
Financial Services
Salary depends on experience
Posted on 08/01/17

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.


Our Opportunity:

Schwab Charitable is an independent public charity created to increase charitable giving in the United States by offering the flexible giving solution of a donor-advised fund account.  A donor-advised fund account is a simple, flexible, tax-smart investment account designed specifically for charitable purposes that offers clients and advisors a simple and streamlined way to contribute, invest and grant effectively.  We are a leading national donor-advised fund provider—having granted out to over 110,000 charities nationwide since inception on behalf of our donors.

At Schwab Charitable, we believe people have an inherent desire to give and that investing and giving when done together can empower us to make a real difference in the world.  We make it easy to integrate charitable giving into clients’ financial planning and wealth management conversations.  We believe that if our clients apply the same thoughtful strategy to their giving and philanthropy they apply to their finances and investments, they will be happier and more fulfilled donors.  With our uniquely integrated approach, our simple and tax-smart giving solution, our access to online resources and our team of charitable specialists, we offer the tools, guidance and relationships to help donors give more to the charities that matter most to them.

Schwab Charitable was founded by Charles Schwab & Co. and while it operates as an independent charity, it is closely affiliated with and enjoys the support of Charles Schwab & Co, including contractual agreements to provide a variety of services. This position will be an employee of Charles Schwab & Co. and will be subject to its human resources and risk policies and procedures, but will report to and be accountable to Schwab Charitable for day-to-day activities.

Organizational Risk Management is responsible for the design and implementation of the organization-wide risk management and regulatory compliance program.  We author and administer Program Policies, internal policies and procedures. We also maintain the policy, procedures and process diagrams library.  We are seeking a highly motivated individual with strong regulatory compliance and communications background, a successful record of writing policies and procedures, administering policy repositories, designing effective communications plans for compliance programs that are value-added to business processes, with the ability to assess complex regulatory and industry materials and communicate them to the teams to facilitate compliant activities.  This individual must possess strong analytic and organizational skills, excellent written and verbal communication skills and a passion for teamwork and customer service. The position is an individual contributor role that reports to the Managing Director - Organizational Risk Management.


What you’ll do:

  • Write and administer the Schwab Charitable policy framework, including writing policies and procedures, designing templates for policies and procedures, designing and implementing a      process for ongoing policy administration and ongoing annual updates, designing and maintaining an easy to access policy and procedure repository or library.
  • Provide strategic advice and recommendations regarding Schwab Charitable’s business policies, rules and regulations. Effectively document business and risk decisions, and coordinate governance and maintenance of key risk policies. Recommend and ensure implementation of risk-based updates to policies and administer ongoing policy administration.
  • Ensure the policies and procedures are continually monitored and evaluated for consistency with each other and with current practice.
  • Become proficient on DAF regulatory framework as well as industry knowledge in all aspects of compliance to support Managing Director - Organizational Risk Management in implementing basic regulatory frameworks, general regulatory and internal control requirements.
  • Use independent judgment and decision making and  demonstrate a high degree of integrity in all interactions; exercise sound professional judgment. Understand how others define policy and turn the information into effective written guidance.
  • Assist with the creation of stakeholder training and/or support as deemed necessary to drive awareness and understanding of organizational risk and compliance.
  • Create status reports on policy initiatives and assist in creating top quality PowerPoint presentations for delivery to internal executives.
  • Develop strong, positive working relationships with Schwab Charitable colleagues and with otherrisk, compliance and control functions and business units. Foster a learning environment      where department and business partners are encouraged to improve efficiencies and controls.Support the Schwab Charitable Marketing and Training teams with internal and external communications, such as drafting, copy-editing and review when needed.
  • Model strong leadership skills, impeccable integrity and focus on delivering results
  • Other projects as assigned by the Managing Director - Organizational Risk Management.


What you have:

Required Qualifications:

  • Bachelor’s degree
  • Minimum 6 years’ writing experience
  • Minimum of 2 years’ experience in policy writing and/or compliance management
  • Demonstrated competence translating complex jargon and regulation into everyday prose
  • Demonstrated competence crafting policies and procedures as well as evaluating processes and creating written documentation to describe them
  • Strong PC skills, including proficiency in MS Office and PowerPoint
  • Demonstrated ability to write clear, understandable, attractive and easily readable policies to ensure compliance with complex regulatory frameworks.
  • Demonstrated ability to create communication plans and administer compliance programs.

Preferred Qualifications:

  • Previous experiencefinancial services industry  or with a donor advised fund or foundation
  • Technical or policy writing experience
  • Master’s degree or professional certification in related field
  • Solid understanding of donor-advised fund, RIA, SEC, banking and broker/dealer regulatory environments and ability to apply to Schwab Charitable’s unique situation
  • Demonstrated ability to work well across the Schwab organization, building strong relationships that support Schwab Charitable’s mission a plus


  • Highly organized; able to manage multiple processes effectively. Demonstrated strength in planning and execution of multiple projects
  • Commitment to excellence, customer service and teamwork
  • Excellent oral, written and presentation skills, including ability to communicate effectively with senior management, colleagues and outside parties
  • Critical thinker with ability to anticipate impact and react effectively to changes in regulatory and business climate. Strong ability to analyze, research and resolve problems
  • Ability and willingness to take on a role that ranges from learning operational roles and processes, to understanding and applying complex regulations; from drafting policies to reviewing procedures; from conducting procedural reviews to delivering conceptual presentations to senior executives.
  • Ability to read and interpret regulations and make effective use of in-house counsel.


What you’ll 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


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