Charles Schwab
Overview
Manager, Compliance Asset Management
at Charles Schwab At Schwab, youre 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 that build client trust and safeguard the integrity of the firm. The Compliance Department advises on applicable federal and state rules and regulations, supervisory systems, and policies and procedures; liaises with regulators; provides guidance on communications with the public; conducts surveillance and investigations to monitor for compliance with firm policies and procedures; processes and maintains firm and employee registrations; and performs a variety of other compliance functions. In this role, you will partner with a variety of internal stakeholders to support the continuing growth of Schwabs asset management business. Your primary responsibilities will focus on: (a) providing compliance advice and guidance to Charles Schwab Investment Management, Inc. (CSIM), a registered investment adviser, and Schwabs proprietary mutual funds, ETFs, and separately managed accounts; and (b) maintaining and continually evolving the compliance programs for CSIM and one of the largest fund companies in the nation. The work is dynamic and requires: (i) strong collaboration and the ability to foster meaningful and deep relationships across the organization; (ii) the ability to prioritize and timely address numerous efforts simultaneously; (iii) a growth mindset and adaptability; and (iv) a desire to create innovative solutions that benefit our clients and the firm. If you exhibit these qualities, possess an aptitude for continual learning, and want to be an instrumental partner focused on advancing Schwabs asset management business, we encourage you to apply. Responsibilities Provide compliance advice and guidance to areas that support Schwabs asset management business, leveraging knowledge on a variety of topics Identify, investigate, and assist in the timely resolution of compliance issues, including complex or ambiguous matters Execute compliance monitoring activities to maintain robust compliance programs Support and participate in internal audits, compliance testing, and risk assessments; may assist with regulatory exams Interpret and assess laws, rules, and regulations affecting the operation of the organization Assist with compliance, regulatory, and business initiatives for CSIM and Schwabs mutual funds and ETFs, recommending solutions that advance the business Assist with due diligence and ongoing oversight of third-party asset managers and service providers; prepare materials for fund boards and internal committees; review and update policies and procedures; assist with annual compliance reports under Rule 38a-1 and 206(4)-7; assist with regulatory disclosures and filings (e.g., Form ADV) Contribute to additional projects and tasks based on business needs
What you have Required Qualifications and Skills
Bachelor's degree from an accredited college or university 3+ years of direct asset management compliance, risk, and/or audit experience with knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and relevant federal and state securities laws Other relevant asset management experience may be considered
Skills
Ability to identify issues and solutions and understand their impact on the broader ecosystem Ability to foster strong networks and partnerships across the organization, building trust with stakeholders Comfort working independently and as part of a geographically dispersed team with appropriate guidance Highly organized, detail-oriented, collaborative, and eager to continually learn in a dynamic and growing organization Positive attitude and forward-thinking approach Advanced writing, verbal, and interpersonal skills suitable for a variety of audiences Excellent judgment, strong work ethic, and unwavering integrity
Preferred Qualifications
Advanced degree or education Experience involved in strategic initiatives and significant projects, including those involving senior leaders
Whats in it for you
At Schwab, were committed to empowering our employees personal and professional success. Our purpose-driven, supportive culture, and focus on your development means youll 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 supports the whole you today and in the future: 401(k) with company match and Employee stock purchase plan Paid time for vacation, volunteering, and a 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
Position details
Seniority level: Mid-Senior level Employment type: Full-time Job function: Legal
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Manager, Compliance Asset Management
at Charles Schwab At Schwab, youre 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 that build client trust and safeguard the integrity of the firm. The Compliance Department advises on applicable federal and state rules and regulations, supervisory systems, and policies and procedures; liaises with regulators; provides guidance on communications with the public; conducts surveillance and investigations to monitor for compliance with firm policies and procedures; processes and maintains firm and employee registrations; and performs a variety of other compliance functions. In this role, you will partner with a variety of internal stakeholders to support the continuing growth of Schwabs asset management business. Your primary responsibilities will focus on: (a) providing compliance advice and guidance to Charles Schwab Investment Management, Inc. (CSIM), a registered investment adviser, and Schwabs proprietary mutual funds, ETFs, and separately managed accounts; and (b) maintaining and continually evolving the compliance programs for CSIM and one of the largest fund companies in the nation. The work is dynamic and requires: (i) strong collaboration and the ability to foster meaningful and deep relationships across the organization; (ii) the ability to prioritize and timely address numerous efforts simultaneously; (iii) a growth mindset and adaptability; and (iv) a desire to create innovative solutions that benefit our clients and the firm. If you exhibit these qualities, possess an aptitude for continual learning, and want to be an instrumental partner focused on advancing Schwabs asset management business, we encourage you to apply. Responsibilities Provide compliance advice and guidance to areas that support Schwabs asset management business, leveraging knowledge on a variety of topics Identify, investigate, and assist in the timely resolution of compliance issues, including complex or ambiguous matters Execute compliance monitoring activities to maintain robust compliance programs Support and participate in internal audits, compliance testing, and risk assessments; may assist with regulatory exams Interpret and assess laws, rules, and regulations affecting the operation of the organization Assist with compliance, regulatory, and business initiatives for CSIM and Schwabs mutual funds and ETFs, recommending solutions that advance the business Assist with due diligence and ongoing oversight of third-party asset managers and service providers; prepare materials for fund boards and internal committees; review and update policies and procedures; assist with annual compliance reports under Rule 38a-1 and 206(4)-7; assist with regulatory disclosures and filings (e.g., Form ADV) Contribute to additional projects and tasks based on business needs
What you have Required Qualifications and Skills
Bachelor's degree from an accredited college or university 3+ years of direct asset management compliance, risk, and/or audit experience with knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and relevant federal and state securities laws Other relevant asset management experience may be considered
Skills
Ability to identify issues and solutions and understand their impact on the broader ecosystem Ability to foster strong networks and partnerships across the organization, building trust with stakeholders Comfort working independently and as part of a geographically dispersed team with appropriate guidance Highly organized, detail-oriented, collaborative, and eager to continually learn in a dynamic and growing organization Positive attitude and forward-thinking approach Advanced writing, verbal, and interpersonal skills suitable for a variety of audiences Excellent judgment, strong work ethic, and unwavering integrity
Preferred Qualifications
Advanced degree or education Experience involved in strategic initiatives and significant projects, including those involving senior leaders
Whats in it for you
At Schwab, were committed to empowering our employees personal and professional success. Our purpose-driven, supportive culture, and focus on your development means youll 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 supports the whole you today and in the future: 401(k) with company match and Employee stock purchase plan Paid time for vacation, volunteering, and a 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
Position details
Seniority level: Mid-Senior level Employment type: Full-time Job function: Legal
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