Senior Asset Management Compliance Leader

Charles Schwab; Austin (TX); Hybrid; USD 180,000 - 240,000; Full time

Benefits offered by this job

401(k) match

Sabbatical after 5 years

Parental leave

Tuition reimbursement

Health insurance

Job summary

Schwab is seeking a senior compliance leader within Asset Management Compliance to influence strategy for CSIM's mutual funds, ETFs, and SMAs. You will partner with senior stakeholders across Wealth, Compliance, Legal, Risk, and the business to enable responsible growth while protecting client trust.

You'll shape and evolve programs, mentor colleagues, and drive regulatory excellence in a geographically dispersed team, with hybrid work flexibility.

Qualifications

• 10+ years of direct experience in asset management compliance, risk, or audit.
• Knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
• Experience advising on mutual funds, ETFs, or SMAs.
• Experience resolving complex compliance issues in asset management.
• Experience contributing to strategic initiatives with senior leaders.
• Experience presenting compliance recommendations to stakeholders.

Responsibilities

• Provide strategic compliance guidance to enable growth while managing regulatory and client risks.
• Shape solutions for complex compliance matters across investment products and disclosures.
• Evolve compliance programs for CSIM and Schwab's mutual funds, ETFs, and SMAs.
• Partner with business leaders on regulatory, risk, audit, and examination matters.
• Build trusted relationships and mentor colleagues within Asset Management Compliance.

Skills

Asset management compliance

Investment law knowledge

Mutual funds & ETFs

Risk assessment

Cross-functional collaboration

Regulatory guidance

Education

Bachelor degree or advanced degree

Job description

Schwab is seeking a senior compliance leader within Asset Management Compliance to influence strategy for CSIM's mutual funds, ETFs, and SMAs. You will partner with senior stakeholders across Wealth, Compliance, Legal, Risk, and the business to enable responsible growth while protecting client trust.

You'll shape and evolve programs, mentor colleagues, and drive regulatory excellence in a geographically dispersed team, with hybrid work flexibility.