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Portfolio Compliance Analyst

2 months ago

Boston, 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.

The Investment Guidelines Oversight Manager will be part of Schwab Asset Management (SAM). The overall SAM team is passionately committed to providing solutions that help Schwab clients achieve their financial goals. The Manager role will embody SAM's deep commitment to providing the highest fiduciary standards to our clients and funds' shareholders. Our clients can place the utmost trust and confidence in SAM to manage their money because we provide the fiduciary expertise and resources that our investment teams need in order to act in our clients' best interest.

It is the mission of the Investment Guidelines Oversight team to protect our shareholders and clients' interests by collaborating with partners across SAM, implementing best practices designed to detect, prevent, and mitigate potential breaches of investment guidelines. Our group manages and maintains the investment guidelines for all Schwab proprietary Mutual Funds, ETFs, Collective Trusts, and Separately Managed Account products. In addition to managing the guidelines, we also work to apply guidelines to their respective portfolios by ensuring proper oversight and compliance.

The Investment Guidelines Oversight Manager is responsible for monitoring trading activities of portfolio managers and sub-advisors to ensure compliance with agreements and investment guidelines. The ability to code compliance tests using compliance platforms such as Aladdin or Vestmark, or equivalent, is an important aspect of the position. The Manager will ensure that compliance tests are correctly and accurately coded, implemented and appropriately monitored. The Manager will also focus on supporting compliance rule validation and reporting requirements.

This role requires partnering with functional areas within SAM including Compliance, Legal, Portfolio Management, Investment Risk, Trade Operations, Product Management, Investment Manager Research, Program Management and Vendor Oversight. A key function of this role is the continued analysis of workflows and recommendation for process improvements along with capabilities to work independently on complex problem-solving initiatives. This role includes responsibility to stay abreast of regulatory changes and relevant industry changes/trends and implementing those changes on a go forward basis. This is an individual contributor role.

Primary responsibilities include:
  • Ensure guidelines monitoring system is applying regulatory and internal guideline requirements correctly
  • Monitor and manage day to day trading activities of portfolio managers in mutual funds, ETFs, and separately managed accounts
  • Code new compliance tests and improve existing tests within the order management system
  • Support daily, weekly and monthly functions related to the monitoring of investment guidelines for Schwab products
  • Assist team with streamlining/automating existing processes and procedures as well as with special projects
  • Work with external vendors to ensure appropriate monitoring of investment products
  • Establish/maintain relationships with SAM business partners
What you have
  • Bachelor's degree preferred. Degree in Business, Economics, or related field preferred
  • At least 1-3 years experience within the Financial Services industry required
  • 1-3 years experience with mutual funds and/or separately managed accounts preferred
  • Experience with investment management systems, especially Aladdin, Vestmark, CRD, Allvue (Everest) strongly preferred
  • Strong knowledge of compliance rule coding and monitoring best practices
  • Experience with relational databases and interpreting coding languages especially SQL or advanced use of Excel and Excel formula functions
  • General understanding of 1940 Act requirements a plus
  • Experience in Compliance, Research, or Investment Risk a plus
  • Excellent analytical and communication skills
  • Strong organizational skills with keen attention to detail and accuracy
  • Ability to balance competing priorities with strict timeframes and deadlines and ability to multi-task in a fast-paced environment
  • Demonstrated problem solving skills
  • Experience with various on-line trading resources, such as Bloomberg, preferred

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