Charles Schwab

Director, Asset Management Compliance

Charles Schwab • $135K — $160K *
Omaha, NE 68104In-Person
Finance & Insurance
8 - 10 years of experience
Today
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • 10+ years in asset management compliance, risk, or audit
  • Strong knowledge of Investment Company and Advisers Acts and relevant securities laws
  • Experience with mutual funds, ETFs, and separately managed accounts
  • Ability to navigate complex compliance issues in asset management
  • Track record in cross-functional initiatives involving senior leadership

Responsibilities

  • Provide strategic compliance guidance for growth opportunities
  • Shape solutions for complex compliance matters
  • Enhance compliance programs for CSIM and proprietary investment products
  • Collaborate on regulatory, audit, and risk assessment matters
  • Build trusted relationships and mentor within the compliance team

Benefits

  • Opportunity to shape asset management compliance strategy
  • Work with a geographically dispersed, collaborative team
  • Possibility to influence significant regulatory decisions
  • Mentorship and professional development opportunities
  • Engagement in innovative and strategic initiatives
Full Job Description
Your Opportunity

Join Schwab’s Asset Management Compliance team in a highly visible director role where your judgment and regulatory expertise will help shape the future of our asset management business. You will partner with leaders across Wealth and Asset Management, Compliance, Legal, Risk, and the business to enable responsible growth, strengthen client trust, and protect the integrity of the firm.

 

As a senior individual contributor, you will influence the compliance strategy supporting Charles Schwab Investment Management, Inc. (CSIM), Schwab’s proprietary mutual funds, exchange-traded funds (ETFs), and separately managed accounts (SMAs). Your work will guide important business and regulatory decisions, advance strategic initiatives, and help ensure our compliance programs continue to evolve as products, markets, and regulations change.

 

This is an opportunity to bring creative thinking to complex questions, earn the confidence of senior stakeholders, and make an impact at enterprise scale. You will have room to deepen your expertise, expand your network, contribute to innovation, and mentor colleagues while working with a collaborative, geographically dispersed team.

 

What you will influence

  • Provide strategic compliance guidance that enables Schwab’s asset management business to pursue growth opportunities while managing regulatory and client risks.
  • Shape solutions for complex or ambiguous compliance matters involving investment products, portfolio restrictions, disclosures, governance, and regulatory change.
  • Strengthen and evolve compliance programs for CSIM and Schwab’s proprietary mutual funds, ETFs, and SMAs.
  • Partner on significant business, regulatory, audit, risk assessment, and examination matters, translating requirements into practical, sustainable outcomes.
  • Build trusted relationships across the enterprise and serve as a thought partner and mentor within Asset Management Compliance.
What you have

Your experience gives you the credibility to navigate complex regulations, influence decisions, and help the business move forward with confidence.

 

Required Qualifications:

  • 10 or more years of direct experience in asset management compliance, risk, or audit.
  • Demonstrated working knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and applicable federal and state securities laws, rules, and regulations.
  • Experience advising on mutual funds, ETFs, or separately managed accounts, including equity, fixed income, or other investment strategies.
  • Experience assessing and resolving complex compliance issues within an asset management environment.
  • Experience contributing to strategic initiatives or significant cross-functional projects involving senior leaders.
  • Experience preparing written guidance and presenting compliance recommendations to business, compliance, legal, risk, audit, or governance stakeholders.

Preferred Qualifications:

  • Bachelor’s degree or advanced degree in a related field.
  • Experience supporting a registered investment adviser, proprietary mutual fund complex, ETF business, or SMA platform.
  • Experience participating in or presenting to internal governance committees or fund boards.
  • Knowledge of product development, portfolio oversight, regulatory disclosures, or investment product distribution channels.
  • Experience supporting internal audits, risk assessments, or regulatory examinations.
  • Experience mentoring colleagues or serving as a subject-matter resource within a compliance organization.

About Charles Schwab

Charles Schwab is a financial services company that provides a full range of securities, brokerage, banking, money management, financial advisory, investor, and retirement plan services. It operates in four main divisions; investing, wealth management, banking, and trading. Charles Schwab provides a full-service brokerage platform that serves individual investors who invest on their own or through a workplace-sponsored retirement or equity plan, as well as banking through Schwab Bank. The firm was founded in 1973 and is headquartered in San Francisco, California.

Charles Schwab Careers

Join the vibrant team at Charles Schwab, a leader in global finance, where your career is propelled by innovation, leadership, and a commitment to diversity and professional growth. At Charles Schwab, we offer more than just job opportunities; we provide a platform for you to make a significant impact on the industry and our clients' lives.

Work You’ll Do

At Charles Schwab, we are dedicated to helping our clients manage their financial futures. Being part of our team means you'll work alongside some of the most skilled professionals in the financial services industry. Our culture thrives on teamwork, integrity, and relentless dedication to our clients. Whether you're looking for a position in financial consulting, technology, or administrative support, Charles Schwab offers a dynamic work environment where your skills will be honed and your achievements recognized.

Innovate and Lead

Embrace the opportunity to lead through innovation. Charles Schwab’s commitment to technology and innovation is fundamental to our service delivery. By joining our team, you will be at the forefront of developing new solutions that redefine the future of finance. Your leadership can guide significant projects that impact our company and the industry.

Grow Your Career

Charles Schwab believes in fostering the growth of its employees. Whether through professional development programs, diversity training, or leadership workshops, we ensure that our team members receive the support and training they need to advance their careers. With a variety of career paths available, your job at Schwab can evolve with your interests and expertise.

Internship and Employment Opportunities

Start your professional journey with Charles Schwab through our internship programs or full-time employment opportunities. We seek individuals who are passionate, curious, and ready to drive change. A career at Schwab is not just about having a job; it's about building a lasting relationship with a company that values your potential.

Benefits and Culture

Charles Schwab is renowned for its employee-friendly culture. We offer a comprehensive benefits package that supports the health, financial stability, and work-life balance of our team members. From competitive salaries and bonuses to health insurance and retirement plans, Schwab ensures that your career is as rewarding as it is enriching.

Networking and Professional Development

Expand your professional network and enhance your skills through our various networking events, mentorship programs, and training sessions. At Charles Schwab, we believe in leveraging collective expertise to foster learning and innovation. Engage with leaders, gain insights from experienced professionals, and build relationships that will aid your career trajectory.

Join Our Team

Explore the numerous career paths available at Charles Schwab and discover how your talents can be utilized to their fullest potential. Search open positions that match your skills and interests. We are continuously hiring across various disciplines and look forward to adding innovative, driven individuals to our team.

Stay Connected

Keep up to date with the latest from Charles Schwab Careers by subscribing to our job alert emails. Tailor your subscription to receive updates that align with your career preferences and be the first to know about new openings, company news, and professional tips.

Explore Charles Schwab Jobs

Ready to take the next step in your career? Visit our careers page to review current job openings, submit your resume, and prepare for your interview. At Charles Schwab, your future is waiting. [SEARCH CHARLES SCHWAB JOBS] Join Charles Schwab today and be part of a team that values diversity, innovation, and leadership—where your career can thrive in the exciting world of finance.
Learn more about Charles Schwab
Size
34,200 employees
Market Cap
$151.6 billion
Industry
Finance & Insurance
Net Income
$3.2 billion
Founded
1973
5 Year Trend
+20%
Revenue
$12.1 billion
NASDAQ
SCHW
* Ladders Estimates

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