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Manager, Compliance

3 months ago

Westlake, United States Charles Schwab Full time
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.

In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices building client trust and safeguard the integrity of the Firm. 

The Manager will join an engaging and dynamic team supporting our business partners.  This role will be responsible for providing compliance advice and guidance to Charles Schwab Investment Management, Inc. (CSIM), also known as Schwab Asset Management, and to the Schwab Funds/Schwab ETFs (the Funds) consistent with the Investment Advisers Act of 1940 and/or the Investment Company Act of 1940 while maintaining an enterprise-wide view of compliance risks.  This role will support the compliance programs for both SAM and the Funds and perform various compliance monitoring activities. This role is an individual contributor role reporting to the Director, Compliance. 

Day-to-Day Responsibilities will include:

  • Providing compliance advice and guidance to business partners
  • Oversee, execute and/or support specific functional responsibilities that support the compliance programs
  • Perform compliance monitoring activities
  • Manage strong relationships with business partners and compliance colleagues alike
  • Understand and support business strategy, partnering with business leadership and product development teams through strong relationships with business partners
  • Participate in cross-affiliate projects
  • Support and participate in regulatory exams, internal audits and internal compliance testing
  • Additional projects and tasks based on business need and potential coverage gaps
What you have

Required qualifications:

  • BS/BA degree or equivalent work experience
  • 5+ years of compliance, legal and/or regulatory experience in asset management, preferably in an investment adviser/investment company compliance role
  • Competencies in relevant financial services, investment advisory and/or investment company regulation, securities laws and other regulations. ERISA experience is a plus

 Preferred qualifications:

  • Embraces an enterprise view in identifying, assessing, mitigating, measuring, and monitoring Compliance risks consistent with the Enterprise Risk Management Framework
  • Superior communication skills, both written and verbal, including the ability to develop concise and effective communications tailored to specific audiences
  • Ability to analyze issues and develop plans on a systemic level, thinking through potential connections and impact across the Schwab ecosystem, and developing roadmaps to achieve long term vision through short term deliverables
  • Ability to work independently and within a geographically dispersed team while managing multiple complex projects
  • Client focus; ability to effectively and quickly build relationships and establish trust, respect, competence and confidence

What’s in it for you

At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

  • 401(k) with company match and Employee stock purchase plan
  • Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
  • Paid parental leave and family building benefits
  • Tuition reimbursement
  • Health, dental, and vision insurance