Director, Investment Advisor/Investment Company Compliance

3 weeks ago

Littleton, United States Charles Schwab Full time

Your opportunity Director, Investment Advisory Compliance

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. Reporting the Managing Director, Asset Management Compliance, the Director will join an engaging and dynamic team supporting our business partners. This Director will be responsible for leading a team of compliance professionals in developing, maintaining and administering the Compliance Programs for Charles Schwab Investment Management, Inc. (CSIM), also known as Schwab Asset Management, and for the Schwab Funds/Schwab ETFs (the Funds) as required under Rule 206(4)-7 of the Investment Advisers Act and Rule 38(a)-1 of the Investment Company Act while maintaining an enterprise-wide view of compliance risks. Key Outcomes:

Manage and lead a team of compliance professionals by providing support, coaching and feedback Serve as the subject matter expert on a variety of compliance-specific topics and provide compliance advice and support to partners supporting CSIM and/or the Funds with an intentional focus on ensuring enterprise wide compliance risks are identified and mitigated Identify and implement process enhancements to the compliance programs Work closely with compliance colleagues who support the compliance programs to ensure compliance program requirements and expectations are being met Assess proposed regulations for impact on the business, and develop and implement procedures to address relevant changes Manage strong relationships with business partners and compliance colleagues alike 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 Ideal Profile and Key Experiences:

10+ years of experience in asset management, preferably in a compliance role. Prior people leadership preferred. Embraces an enterprise view in identifying, assessing, mitigating, measuring, and monitoring Compliance risks consistent with the Enterprise Risk Management Framework. Deep competencies in relevant financial services, investment advisory and/or investment company regulation, securities laws and other regulations. Ability to lead a dynamic team and motivate direct and indirect reports to excel. Thrives on initiating, building, and cultivating strong authentic relationships inside and outside the group; highly collaborative; navigates and activates alignment across organizational silos. Courageous leader who develops followership and builds high performing, diverse, cross-functional work teams of both direct and indirect team members rallied around the strategy. 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. Understanding of the regulatory environment and rules and regulations applicable to investment advisers, mutual funds and mutual fund distributors Client focus; ability to effectively and quickly build relationships and establish trust, respect, competence and confidence. BS/BA degree or equivalent work experience. JD or MBA preferred.

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

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