Compliance Director - Investment Advisory
The asset management organizations at Schwab were recently brought together in an enterprise called Schwab Asset Management Solutions (SAMS). SAMS includes three advisers: Charles Schwab Investment Management, Inc. (CSIM), Charles Schwab Investment Advisory, Inc. (CSIA) and Schwab Private Client Investment Advisory Inc. (SPCIA), in addition to sales, research and related support functions.
The Director, SAMS Compliance Team (Director, SAMS Compliance) will be expected to assist the Chief Compliance Officer and Deputy Chief Compliance Officer in developing, maintaining and administering the Compliance Programs for CSIM, CSIA and SPCIA under Rule 206(4)-7, as well as for the Schwab Funds, Laudus Funds and Schwab ETFs under Rule 38(a)-1.
What you are good at
- Serving as the subject matter expert on a variety of compliance-specific topics and providing compliance advice and support to business partners supporting the investment advisers
- Review and update the Compliance Manual and related desktop procedures
- Provide mentorship and support to the Compliance Risk Assessment
- Give input to the Compliance Testing Program and support the implementation of any findings
- Provide input to the development, annual review and participate in the presentation of compliance training
- Assess proposed regulations for impact on the business, and develop and implement procedures to address relevant changes
- Lead positive relationships with business partners
- Participate in cross-affiliate projects
- Support and participate in regulatory exams and internal audits
- Additional projects and tasks based on business need and potential coverage gaps
What you have
- 10+ years of demonstrated ability in asset management, preferably in a compliance role
- Outstanding communication skills, both written and verbal, including the ability to develop concise and effective communications tailored to specific audiences
- Ability 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 results.
- Understanding of the regulatory environment and rules and regulations applicable to investment advisers, mutual funds and mutual fund distributors
- Client focus; ability to effectively and quickly form relationships and establish trust, respect, competence and confidence.
- BS/BA degree or equivalent work experience. JD or MBA preferred.
Why work for us?
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