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 Senior 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 Schwab ETFs, fixed income products, trading, affiliated transactions and various aspects of monitoring related to the above. This role is an individual contributor role.
Day-to-Day Responsibilities will include:
Serving as the subject matter expert on a variety of compliance-specific topics and providing compliance advice and guidance to business partnersAssess proposed regulations for impact on the business, and develop and implement procedures to address relevant changesManage strong relationships with business partners and compliance colleagues alikeUnderstand and support business strategy, partnering with business leadership and product development teams through strong relationships with business partnersParticipate in product launches and cross-affiliate projectsSupport and participate in evaluating risk, conflicts of interest and controls environmentAdditional projects and tasks based on business need and potential coverage gaps What you haveRequired Qualifications:
BS/BA degree or equivalent work experience6-8+ years of compliance, legal and/or regulatory experience in asset management, preferably in an investment adviser/investment company compliance roleDeep competencies in relevant financial services, investment advisory and/or investment company regulation, securities laws and other regulationsPreferred Qualifications:
Embraces an enterprise view in identifying, assessing, mitigating, measuring, and monitoring Compliance risks consistent with the Enterprise Risk Management FrameworkSuperior communication skills, both written and verbal, including the ability to develop concise and effective communications tailored to specific audiencesAbility 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 deliverablesAbility to work independently and within a geographically dispersed team while managing multiple complex projectsClient focus; ability to effectively and quickly build relationships and establish trust, respect, competence and confidence. 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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