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.
Schwab Asset Management (SAM), the dba name for Charles Schwab Investment Management, Inc., the asset management arm of Charles Schwab Corporation, has over $645 Billion in assets under management (AUM) and is one of the nation’s largest retail money managers.
SAM provides a wide variety of products ranging from money market funds, index mutual funds, actively managed mutual funds, exchange traded funds, multi-asset fund-of-funds and separately managed accounts. As a provider of core investment products, SAM is both an important enabler in fulfilling Schwab’s mission of helping everyone be financially fit and a critical engine in the company’s profitability and growth.
The Senior Manager, Asset Management Marketing Review will focus on supporting and managing the review and approval process for Schwab Asset Management (SAM) Communications with the Public (CWTP). These communications will include product-related marketing and sales collateral, investment adviser communications, request for proposals (RFPs), thought leadership content, fund commentaries, and other print and electronic communications. The Senior Manager will also assist in strategic planning to develop a sustainable service model for the SAM Business Communications Review team to support future business growth.
Success will require the Senior Manager to be a strategic thinker with a proficient knowledge of Communications with the Public FINRA and SEC requirements. Will also have demonstrated experience in boosting awareness, understanding, and engagement of technical products among various audiences as well as being a self-starter.
Strategic Function and Role:
You will play a key role in the Communications Review process, supporting new regulations and initiatives by effectively managing and implementing business and industry requirements.
Provide initial review and Series 24 Principal approval on all applicable communications to ensure business and regulatory standards are metConsult with Legal and Compliance personnel regarding the applicability of rules and regulatory requirements, internal guidelines and disclosure standards, and other risk related issues when reviewing and approving CWTPMeet regularly with distributor compliance teams to discuss trends, changes in guidance, and issuesInform the business unit of any changes in regulatory policies or rules relating to advertising and sales literature, and provide oversight in implementing those changes into communicationsAct as a liaison between document originators, Workfront project managers, and Legal and Compliance staff to resolve any complex issues or questionsMonitor department production of business communications via the Workfront project management tool; provide management reporting and escalate issuesManage and facilitate annual review of all product positioning and collateral to ensure alignment with fund offering documents and internal investment guidelines What you have Education: BS/BA degree or equivalentProfessional licensing: FINRA Series 7/24 required7+ years in the financial services industry, with experience producing and/or reviewing product-related and investment adviser communicationsStrong working knowledge of FINRA and SEC advertising rules and regulations, including FINRA Rule 2210 and SEC Rule 482Comprehensive knowledge of the asset management industry and investment products, especially regulatory requirements and the current regulatory environmentExperience with regulatory submission and review processesAbility to make sound, timely and risk-based decisions considering supervisory and regulatory expectations and business needsAbility to interpret regulatory guidance, adapt department procedures to rule changes, create policies or training material as necessaryCollaborative nature and the ability to establish credibility and solid working relationships with key business partners throughout the organizationStrong attention to detailProficiency in Microsoft Word, Excel, PowerPoint and Outlook and Adobe AcrobatIn addition to the salary range, this role is also eligible for bonus or incentive opportunities.
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