Charles Schwab

Senior Manager, Fund and Advisory Program Compliance

Charles Schwab • $110K — $130K *
Omaha, NE 68104In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • 5+ years of compliance, risk, or audit experience in investment advisory or asset management
  • Knowledge of the Investment Company Act and Investment Advisers Act
  • Adept at analyzing complex compliance matters
  • Strong networking and relationship-building skills across an organization
  • Excellent writing, verbal, and interpersonal communication abilities

Responsibilities

  • Assist with compliance monitoring and policy updates
  • Prepare compliance reports and materials for fund boards
  • Provide compliance advice on regulatory topics
  • Identify and resolve compliance issues
  • Participate in internal audits and compliance testing

Benefits

  • Dynamic work environment with a focus on collaboration
  • Opportunities for continual learning and professional growth
  • Involvement in innovative projects that impact client experience
  • Supportive of maintaining and enhancing compliance programs
Full Job Description

In this individual contributor role, you will join a dynamic team led by a Director of Fund & Advisory Program Compliance. This team collaboratively partners with members of the broader Wealth & Asset Management Compliance team, as well as a variety of internal stakeholders, to support the growth and expansion of Schwab’s wealth and asset management businesses. You will focus on: (a) maintaining and enhancing the compliance programs of two retail investment advisers, an institutional investment adviser, and Schwab’s mutual funds and ETFs; and, (b) providing compliance advice and guidance related to various matters, including the previously mentioned compliance programs and new products and services.

The work is dynamic, and success is achieved through: (i) strong collaboration and the ability to foster meaningful and deep relationships across Wealth & Asset Management Compliance and the enterprise; (ii) prioritizing and timely addressing numerous efforts simultaneously; (iii) a growth mindset and adaptability; and, (iv) a desire to create innovative solutions that benefit our clients and the firm. If you exhibit these qualities, possess an aptitude for continual learning, and want to be an instrumental partner focused on advancing Schwab’s wealth and asset management businesses, we encourage you to apply.

 

Primary Responsibilities:

  • Focus on and assist with: (a) compliance monitoring; (b) reviewing and updating policies and procedures; (c) preparing materials that are presented to the fund board and internal committees; (d) the preparation of annual compliance reports pursuant to Rule 38a-1 of the Investment Company Act of 1940 and 206(4)-7 of the Investment Advisers Act of 1940; (e) assisting with regulatory disclosures and filings (e.g. Form ADV); and/or, (f) supporting the ongoing oversight of third-party service providers

  • Utilize deep knowledge to provide compliance advice and guidance on a variety of regulatory topics and business initiatives that advance Schwab’s wealth and asset management businesses

  • Identify, investigate, and assist in the timely resolution of compliance issues, including those that are complex and ambiguous

  • Interpret and assess laws, rules, and regulations affecting the operation of the organization

  • May support and participate in internal audits, compliance testing, risk assessments, and, as warranted, relevant regulatory exams

  • Contribute to additional projects and tasks based on business needs

What you have

Required Qualifications and Skills:

Relevant Education and Work Experience

  • 5+ years of experience (compliance, risk, audit) in investment advisory, wealth management, and/or asset management, with knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, and relevant federal and state securities laws, rules, and regulations

  • Other relevant experience may be considered

Skills

  • Adept at analyzing and creatively solving ambiguous and complex matters with an understanding of how those solutions impact the broader ecosystem

  • Excel at developing strong and meaningful networks and partnerships across the organization, establishing trust and confidence with a diverse group of stakeholders

  • Ability to influence outcomes and think strategically

  • Positive attitude and forward-thinking approach

  • Comfortable with change and proactively taking initiative

  • Superb writing, verbal, and interpersonal skills that are effective with a variety of audiences

  • Exceptional judgment, strong work ethic, thought leadership, and unwavering integrity

  • Highly organized and detail-oriented, collaborative, and excited to continually learn in a dynamic and growing organization

  • Comfortable working independently and as a member of a geographically dispersed team

Preferred Qualifications:

  • Bachelor’s degree and advanced degree or education

  • Experience performing compliance monitoring, evaluating policies and procedures, preparing or contributing to regulatory filings, and/or preparing executive-levelreporting materials

  • Previous involvement in strategic initiatives and significant projects, including those involving senior leaders

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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