Hybrid Senior Fund & Advisory Compliance Lead

Charles Schwab; Orlando (FL); Hybrid; USD 120,000 - 160,000; Full time

Benefits offered by this job

401(k) match

Employee stock purchase plan

Sabbatical after every 5 years

Parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab in Orlando seeks a Compliance professional to join the Fund & Advisory Program Compliance team. You will help maintain and enhance compliance programs for retail and institutional advisory services, mutual funds, and ETFs, partnering with Wealth & Asset Management Compliance and internal stakeholders.

The role focuses on monitoring, policy review, regulatory disclosures, and support for audits and regulatory exams, demanding strong collaboration, analytical skills, and integrity.

Qualifications

• 5+ years of experience in compliance, risk, or audit in investment advisory/wealth management.
• Knowledge of Investment Company Act of 1940 and Investment Advisers Act of 1940.
• Familiarity with federal and state securities laws and regulations.

Responsibilities

• Support compliance monitoring and review/update of policies and procedures.
• Prepare materials for fund boards and internal committees.
• Assist with annual compliance reports under Rule 38a-1 and 206(4)-7.
• Support regulatory disclosures and filings such as Form ADV.
• Assist oversight of third-party service providers.

Skills

Analytical skills

Networking

Strategic influence

Positive attitude

Adaptability

Communication

Judgment & integrity

Organization

Team collaboration

Education

Bachelor's degree

Advanced degree preferred

Job description

Charles Schwab in Orlando seeks a Compliance professional to join the Fund & Advisory Program Compliance team. You will help maintain and enhance compliance programs for retail and institutional advisory services, mutual funds, and ETFs, partnering with Wealth & Asset Management Compliance and internal stakeholders.

The role focuses on monitoring, policy review, regulatory disclosures, and support for audits and regulatory exams, demanding strong collaboration, analytical skills, and integrity.