Director, Investment Adviser Compliance

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.

In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices building client trust and safeguard the integrity of the Firm.

Reporting the Managing Director, Asset Management Compliance, the Director will join an engaging and dynamic team supporting our business partners including support for the Schwab Money Market and Fixed Income Funds and associated trading. The Director, Adviser Compliance Team will be expected to 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 for the Schwab Funds/Schwab ETFs (the Funds) as required under Rule 206(4)-7 of the Investment Advisers Act and Rule 38(a)-1 of the Investment Company Act while maintaining an enterprise-wide view of compliance risks.

What you have

Required Qualifications

• BS/BA degree
• 10+ years of experience in asset management, preferably in a compliance role.
• Strong understanding of the federal securities laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940 in addition to regulatory requirements relates to separately managed accounts.
• Experience creating and updating Compliance Manual Policies and Procedures and related desktop procedures.
• Understanding of the regulatory environment and rules and regulations applicable to investment advisers, mutual funds and mutual fund distributors.

Preferred Qualifications

• Post-secondary degree (e.g., JD or MBA)
• Experience providing compliance advice and guidance on money market funds and fixed income products pursuant to the 1940 Act and registered investment advisers managing separately managed accounts.
• Relationship-oriented director who manages complex projects, including cross-enterprise projects, partnering with business leadership and product development teams through strong relationships.
• Strategic thinker who can assess proposed regulations for impact on the business, and develop and implement procedures to address relevant changes.
• Ability to support and participate in regulatory exams, internal audits and compliance risk testing programs, and provide an independent risk management perspective on responses to and support of the implementation of any findings.
• Superior 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 deliverables.
• Client focused; ability to effectively and quickly build relationships and establish trust, respect, competence, and confidence effectively and quickly.