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Senior Specialist, Operational Due Diligence Analyst

Location Chicago, Illinois, United States; Westlake,Texas,United States;San Francisco,California,United States; Requisition ID 2021-72405 Category Investment Management Position Type Regular CO Salary Range 75,000 - 100,000
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Your Opportunity


Schwab Asset Management Solutions (SAMS) is the asset management arm of the Charles Schwab Corporation.  The SAMS team is passionately committed to helping investors achieve their financial goals.  Our organization provides clients guidance and education through investment research and financial planning support.  Next, we manage a $2.6 trillion platform that allows investors to implement that guidance by selecting among thousands of investment products from hundreds of asset managers, including over $600 billion in Schwab managed mutual funds, ETFs and managed accounts. Finally, we offer advisory services, discretionary portfolio management and decision-making tools, as well as Schwab’s private wealth management offering. At SAMS, we live an inclusive culture that drives increased diversity, builds a stronger community, creates high employee engagement, and provides professional growth for all employees, making us a top employer in the money management business. We are looking to add a Senior Specialist, Operational Due Diligence Analyst to the SAMS team.

What you are good at


  • Develop views on the operational risk of 3rd party investment managers by researching key areas including organization & structure, operational infrastructure, compliance, risk management, trading, and other aspects of investment managers that offer SMAs, mutual funds, ETFs and Alternative Investments
  • Report and escalate findings within the Operational Due Diligence team
  • Lead on quarterly or other ad hoc assignments related to third party oversight
  • Support and, at times, participate during due diligence visits and conference calls with third party asset managers
  • Document findings and mitigation efforts
  • Work closely with and in support of senior analysts
  • Conduct ongoing daily monitoring of regulatory, industry and company news and filings
  • Improve current processes and procedures to further develop operational due diligence
  • Manage the team’s workflow and reporting tool as well as associated reporting (Diligend)
  • Collect and evaluate requests for information (RFIs)
  • Ensure investment manager due diligence documentation is up to date and complete
  • Complete ad hoc projects as needed

What you have


  • Bachelor's degree required
  • 2+ years of risk management, compliance, audit or related experience
  • 2+ years of industry experience
  • Ability to exercise independent decision making and problem solving skills
  • Team attitude required; ability to handle internal and external relationships is a must
  • Outstanding analytical skills, research capabilities and attention to detail
  • Outstanding interpersonal skills, both written and verbal, as well as the ability to develop concise and effective communications tailored to specific audiences

Colorado Compensation

Target Base Salary Compensation - $85,000 - $115,000

Your actual pay will be based on your skills and experience -- talk with your recruiter to learn more.

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. Explore further.

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here to see the policy.

Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, 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.

TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.

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