Director, Wealth Management Compliance

Charles Schwab; Orlando (FL); On-site; USD 150,000 - 230,000; Full time

Benefits offered by this job

401(k) with company match

Paid time for vacation and sabbatical

Paid parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab seeks a senior Wealth Management Compliance leader to provide high-caliber guidance across the adviser landscape. This role influences regulatory and business initiatives, conducts monitoring, and partners with Chief Compliance Officers to fortify programs for SWAI and Schwab.

You will identify complex issues, interpret evolving laws, review Form ADV, and support audits and regulatory exams. The ideal candidate has 10+ years in wealth management compliance, strategic project

Qualifications

• 10+ years in wealth management compliance, risk, or audit.
• Deep knowledge of the Investment Advisers Act of 1940 and securities laws.
• Experience advising registered investment advisers and wrap fee program sponsors.
• Experience with strategic initiatives and senior leaders across an enterprise.
• Experience in internal governance committees and related processes.

Responsibilities

• Provide high-caliber compliance advice on Schwab’s wealth management topics.
• Influence and guide compliance, regulatory, and business initiatives; propose solutions.
• Execute compliance monitoring for regulatory adherence and internal policies.
• Partner with the adviser Chief Compliance Officers to strengthen programs for SWAI and Schwab.
• Identify and resolve complex compliance issues and regulatory challenges.
• Interpret laws and regulations affecting wealth management operations.
• Review adviser disclosure documents (e.g., Form ADV) and marketing collateral.
• Support internal audits, risk assessments, and regulatory examinations.
• Contribute to additional projects and tasks based on business and compliance needs.

Skills

Analytical thinking

Strategic mindset

Stakeholder management

Communication skills

Cross-functional collaboration

Change management

Problem solving

Attention to detail

Independent worker

Team leadership

Education

Bachelor’s degree

Advanced degree favored

Job description

Primary Responsibilities

• Utilize broad and deep knowledge to provide high caliber compliance advice and guidance on a variety of topics associated with Schwab’s wealth management business
• Influence and strategically guide compliance, regulatory, and business initiatives associated with Schwab’s advisory programs, recommending creative solutions that advance the business
• Execute compliance monitoring activities for adherence to regulatory requirements and internal policies
• Partner with the adviser Chief Compliance Officers to ensure comprehensive and robust compliance programs for SWAI and Schwab, identifying opportunities for enhancement and increased efficiency
• Identify, investigate, and assist in the resolution of potential compliance issues, including those that are the most complex and ambiguous
• Interpret and assess laws, rules, and regulations affecting the operation of the wealth management organization
• Review adviser disclosure documents (e.g. Form ADV) and marketing collateral
• As needed, support and participate in internal audits, risk assessments, and relevant regulatory exams
• Contribute to additional projects and tasks based on business and Compliance needs

What you have

Relevant Education and Work Experience

• 10+ years of direct wealth management compliance, risk, and/or audit experience with broad and deep knowledge of the Investment Advisers Act of 1940, and relevant federal and state securities laws, rules, and regulations
• Experience providing advice and guidance to registered investment advisers and wrap fee program sponsors, with expertise in managing compliance risk effectively
• Previous involvement in strategic initiatives and significant projects, including those involving senior leaders across an enterprise
• Other relevant wealth management experience may be considered

Skills

• Exceptional at analyzing and creatively solving ambiguous and complex matters with an understanding of how those solutions impact the broader ecosystem
• Excel at developing strong and meaningful networks and partnerships across the organization, establishing trust and confidence with a diverse group of stakeholders
• Adept at influencing outcomes, thinking strategically, and proactively taking initiative
• Comfortable working independently and as a member of a geographically dispersed team
• Highly organized and meticulous, collaborative, and excited to continually learn in a dynamic and growing organization
• Change leader with a positive attitude and forward-thinking approach
• Superb writing, verbal, and interpersonal skills that are effective with a variety of audiences
• Outstanding judgment, strong work ethic, thought leadership, and unwavering integrity

Preferred Qualifications

• Bachelor’s degree, with advanced degree or education viewed favorably
• Investment Adviser Certified Compliance Professional (IACCP®) designation or FINRA Series 65 or 66 licenses a plus
• Knowledge of ERISA, relevant tax laws, FINRA rules, and Regulation Best Interest
• Experience participating in, and presenting to, internal governance committees
• Strong understanding of Schwab’s product landscape, including product creation and distribution channels

What’s in it for you

At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact.

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