Charles Schwab

Sr Manager, Financial & Regulatory Reporting

Charles Schwab • $100K — $130K *
Lone Tree, CO 80124In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's degree in Accounting, Finance, or Economics required
  • Minimum 6 years of direct experience with mutual funds administration
  • Strong working knowledge of SEC regulatory filings and financial reporting
  • Detail-oriented with strong organizational skills to meet deadlines
  • Proven commitment to quality and due diligence in financial processes

Responsibilities

  • Oversee and authorize various SEC fund filings including N-CSR and N-1A
  • Support additional regulatory filings such as N-MFP and N-PORT
  • Automate and review semiannual and annual shareholder reports
  • Evaluate performance of third-party fund administrators in reporting
  • Coordinate schedules for filings with internal and external partners
  • Implement process improvements and lead collaboration efforts
  • Provide expertise on regulatory standards throughout reporting cycles
  • Communicate and present financial standards to senior management

Benefits

  • Eligible for bonus or incentive opportunities
Full Job Description
Your Opportunity

The Financial and Regulatory Reporting Team function within Schwab Asset Management (SAM) is responsible for oversight of the following functions with respect to the proprietary mutual funds and exchange-traded funds (ETFs), and bank collective trust funds: Daily, weekly, monthly, quarterly, semiannual, and annual oversight of shareholder reports and holdings and financial statements, and regulatory reporting.

 

The Financial and Regulatory Reporting Team is looking for a Senior Manager to support their growing team. In this role, you will play a key role in providing oversight of a third-party administrators and supporting the financial and reporting team to ensure regulatory filings are made timely and accurately through leading reporting cycles, authorizing filings, and keeping abreast of reporting changes. The Senior Manager will collaborate closely with external vendors, Portfolio Management, SAM Fund Administration Teams, Legal and other departments as needed on an ongoing basis. Senior Manager will also be an active participant in new product initiatives and current product business changes. This will be an individual contributor role and will report to a Director People Leader in the team.

 

Primary responsibilities include:

  • Oversight and authorization of funds filings including SEC Forms N-CSR (shareholder report and holdings and financial statements), N-CSR iXBRL, N-1A support, 24f-2, and 17f-2
  • Supporting other regulatory filings, including SEC Form N-MFP, N-PORT, and N-CEN
  • Supporting and automating reviews of semiannual and annual shareholder report and holdings and financial statements and quarterly holdings for N-PORT Part F, responsible for ensuring that all regulatory and disclosure requirements are met
  • Strategic oversight of third-party fund administrators’ preparation of regulatory filings and subsequently assess and communicate performance to management
  • Coordinating and balancing schedules with internal and external partners for filings and reviews you are leading
  • Playing a key role in identifying and implementing process improvements and playing a lead in interactions with external and internal partners
  • Partnering with all functional areas of SAM to provide expertise on regulatory and financial reporting standards as questions arise during reporting cycles
  • Staying abreast of regulatory changes and implementing those changes on a go forward basis working with organization partners and senior management
  • Communicating and presenting to senior management in SAM on financial and regulatory standards and process on a frequent basis, including interaction with CFO and CEO as needed
What you have

Required Qualifications:

  • Bachelor’s degree required (BS in Accounting, Finance, or Economics highly preferred)
  • Minimum 6 years of direct experience administering mutual funds, including financial reporting, fund accounting, and/or operational experience
  • Strong working knowledge of regulatory filings and financial reporting requirements for mutual funds and ETFs, including oversight and authorization of fund filings such as SEC Forms N-CSR (including iXBRL), N-1A support, 24f-2, and 17f02, as well as experience supporting additional filings such as SEC Forms N02PORT and N02MFP
  • Strong organizer, detail-oriented, and ability to maintain deadlines
  • Demonstrated drive to improve and promote quality, accuracy, and appropriate levels of due diligence

Preferred Qualifications:

  • Financial reporting experience with interval funds, investments in private markets, private 3c-7 liquidity funds, tokenized funds, and crypto ETPs
  • Drive and skillset to identify areas of opportunity and implement effective change and automation
  • Proactively support business partners and overall company goals through collaboration and effective networking
  • Proven verbal communication and presentation skills with the ability to interact with all levels in the SAM Fund Administration teams and with other external/internal partners

In addition to the salary range, this role is also eligible for bonus or incentive opportunities.

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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