Senior Manager, Asset Management Compliance

Your Opportunity

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. We accomplish this through providing advice and guidance to our business partners regarding the applicability of rules and regulations, advice on policies, procedures and controls.

We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join our Asset Management Compliance team as a Senior Manager. The Senior Manager will serve as a key Compliance Business Partner and assist the Chief Compliance Officers in developing, maintaining and administering the Compliance Programs for Charles Schwab Investment Management, Inc. (CSIM), also known as Schwab Asset Management, and the Schwab Funds/Schwab ETFs.

The Senior Manager of Asset Management Compliance will be responsible for multiple aspects of the Investment Adviser Compliance Programs created under Rule 206(4)-7 and the Investment Company Compliance Program under Rule 38(a)-1. In addition to broad responsibilities related to the Compliance Program, the Senior Manager of Asset Management Compliance will:

• Build relationships with Compliance, Risk and Legal Colleagues and key Business Partners including investment management, financial research, sales and marketing, and product management.
• Serve as the Subject Matter Expert on a variety of specific compliance topics.
• Oversee, execute and/or support specific functional responsibilities that support the Compliance Programs including:
  • Policy review and Compliance Manual Administration and Support
  • Provide advice and support related to sales and marketing materials
  • Oversight, advice and support for the Testing and Risk Assessment programs
• Provide advice and support for products and services offered, including mutual funds, ETFs and separately managed accounts.
• Assess proposed regulations for impact on the business. Develop and implement policies and procedures to address relevant changes.
• Additional projects and tasks based on business need and potential coverage gaps.
• Participate in cross-affiliate projects.
• Assist with various monitoring responsibilities.
• Support and participate in corporate reporting, regulatory exams, and internal audits.

What you have

• A bachelor's degree preferred
• 6 - 8+ years of experience with working knowledge of Investment Adviser compliance programs.
• Advanced communication skills, both verbal and written, with the ability to express oneself clearly and influence effectively, with all levels of an organization.
• Ability to think strategically with sharp analytical skills and strong attention to detail and accuracy.
• Ability to work independently, and within a geographically dispersed team while managing multiple complex projects.
• Ability to independently identify opportunities to improve and enhance the compliance program.
• Ability to identify and solve complex issues in a team environment working with various levels of management and business partners.
• Experience with writing, maintaining, and revising policies and procedures.
• Experience working with Compliance Risk Assessments, portfolio compliance oversight and trading teams is a plus.
• Proficient in Excel, Word, PowerPoint, and Outlook
• Highly effective organizational, prioritization, and time management skills.