We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goal with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm, and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.
The MD, Head of Fund and Advisor Program Compliance will serve as a key partner to the Managing Director & Head of Schwab Asset Management and his direct reports. The MD will serve as a practice group lead for Fund and Advisory Compliance programs, and owns, designs and leads those programs. This leader and his/her team will also:
Key Outcomes:
Interact with and influence compliance colleagues and others across the firm in designing, implementing and measuring appropriate, consistent Fund and Advisory risk management activities.Deliver an enterprise-wide perspective to the firm and the business for the successful execution of the Schwab compliance risk management program.Vivid day-to-day evidence of enterprise-wide thinking, bringing the full Schwab Compliance perspective to every aspect of the job, including exceptional collaboration and boundaryless cooperation with peers on the Schwab Compliance Leadership Team demonstrating the lived values of #OneSchwab and #OneSchwabCompliance.Lead teams providing day to day second line effective challenge, advice and guidance to the CSIM/SAM teams, and Schwab's Funds.Proactively advise on controls and/or implement compliance programs balancing regulatory risks and expectations with business objectives and focus on operating discipline, while mitigating litigation risks.Provide adaptable solutions on changing priorities and regulatory expectations to the business while providing advice about appropriate trade-offs to mitigate risk and ensure all regulatory requirements are met.Drive consistency in program design and execution across multiple legal entities while taking a broad view of potential risks from changes in the business and/or regulatory environment. What you haveRequired experience:
Deep compliance leadership for a highly complex enterprise including multi-disciplinary experience, cross-functional leadership, influence and high-stakes decision-making.Track record of experience influencing business leaders and a proven ability to drive decision-making and significant first line ownership of risk and risk management at all levels of an asset and wealth management firm.Commands a comprehensive understanding of market conditions and trends impacting compliance programs in a diversified financial services firm.Leadership experience executing compliance risk management principles, methodologies and tools, and governance principles and activity in a financial services environment.Preferred experience:
Ability to proactively develop a risk-based plan to execute and enhance the compliance programs, policies and procedures considering regulatory risks and expectations and business objectives while focusing on operating discipline and mitigation of litigation risks.Proven ability to foster constructive relationships with regulatory agencies, peers at other financial institutions, business leaders, and other internal risk management leaders/groups.Experience managing multiple priorities and overseeing distinct teams with varied strengths.Exceptional relationship management and influencing skills required with the ability to navigate complex and nuanced interpersonal issues, balance priorities of different stakeholders, and build trust among business partners. Strong emotional intelligence/maturity and senior level executive presence.Maintains strong problem solving and creative skills and the ability to exercise sound judgment, making decisions based on accurate and timely analyses.Possess strong understanding of business drivers and perspectives combined with broad management and commercial skills, and an ability to bring a strategic focus to the function and be capable of adding value to the business.Strategic, passionate about Schwab’s mission, and knowledgeable/curious about our business, clients, and competitors. Will be seen as a thought partner by enterprise colleagues. Displays confidence and courage in business and talent decisions, actions and communications with a demonstrated ability to take decisive action when needed, including championing ideas, position or dissent.Able to act decisively in making solid, informed judgment calls in response to both the planning, budget and expense management environment and the day-to-day business issues.Exceptionally client focused; able to effectively and quickly build relationships and establish trust, respect, competence and confidence.Thrives on initiating, building and cultivating strong relationships inside and outside; highly collaborative; navigates and activates alignment across organizational silos as well as the enterprise as a whole.Possess effective communication and presentation skills to articulate continuity policies, procedures and plans to senior level executives. Options Apply for this jobApplyShareRefer a friendRefer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed Why work for us?Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.
Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Application FAQs
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