Job Information
Charles Schwab Senior Manager, Compliance in Westlake, Texas
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.
Schwab Compliance is seeking a Senior Manager to administer certain elements of the Compliance programs in support of the Charles Schwab & Co., Inc. investment adviser (CS&Co. IA) sponsor program and the Schwab Wealth Advisory, Inc. (SWAI) investment adviser program. This work includes coordinating with both the SWAI and CS&Co. IA Chief Compliance Officers to ensure each Compliance program complies with the requirements of Investment Advisers Act Rule 206(4)-7. The Senior Manager will report to the Director, Compliance who supports the Wealth and Advice Solutions business and leads the Retail Wealth Management Compliance team.
Day to day responsibilities will include:
Create and perform ongoing review of investment adviser compliance policies and procedures, including the adviser codes of ethics and compliance manuals
Lead and document annual review of effectiveness of compliance policies and procedures, pursuant to Investment Advisers Act Rule 206(4)-7
Drive development of investment adviser compliance monitoring plans, related procedures, and documentation
Develop and enhance compliance risk metrics and reporting
Collaborate closely with Corporate Compliance and Adviser Compliance Practice Group to identify and implement opportunities for improvement for the investment adviser compliance programs
Maintain and update team SharePoint site, procedures, and records
Carry out other duties as assigned, including, but not limited to project work, Form ADV review and filings, and other components of Schwab’s 206(4)-7 program.
What you have
Required Qualifications :
8 + years industry experience, with a minimum of 3 years investment adviser compliance
Strong knowledge of regulatory expectations of SEC-registered investment advisers
Proficiency in Microsoft Office programs (Word, PowerPoint, Excel, SharePoint)
Experience creating and maintaining Compliance policies, standards, and/or procedures
Experience developing Compliance reporting
Preferred Qualifications :
Bachelor’s degree
Series 65 or 66 license a plus
Experience interpreting regulatory guidance and assessing compliance risk
Ability to independently identify opportunities for improvement and enhance a Compliance program
Exceptional attention to detail and proven ability to manage multiple, competing initiatives simultaneously
Excellent interpersonal, relationship building, and change management skills
Demonstrated ability to deliver verbal and written communications that are clear, concise, and impactful with their intended audiences
Strong emotional intelligence and executive presence
What’s in it for you
At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll 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 takes care of the whole you – both today and in the future:
401(k) with company match and Employee stock purchase plan
Paid time for vacation, volunteering, and 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
What’s in it for you:
At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll 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 takes care of the whole you – both today and in the future:
401(k) with company match and Employee stock purchase plan
Paid time for vacation, volunteering, and 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
Schwab is an affirmative action employer, focused on employing and advancing in employment, qualified women, racial and ethnic minorities, protected veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at applicantaccessibility@schwab.com or call 800-275-1281.