Senior Compliance Lead for Fund & Advisory Programs

Charles Schwab Corporation; Southlake (TX); On-site; USD 120,000 - 170,000; Full time

Job summary

Charles Schwab Corporation is seeking an experienced compliance professional to help monitor, update policies, and provide guidance on investments and asset management regulatory matters. You will work with cross-functional teams and assist with regulatory filings and board materials.

The position emphasizes collaboration, thoughtful problem solving, and proactive risk management as Schwab expands its wealth and asset management operations.

Qualifications

• Bachelor’s degree or higher in a relevant field.
• Experience with compliance, risk, or audit in investment or asset management.
• Strong writing and communication abilities and an understanding of securities laws.

Responsibilities

• Support compliance monitoring and policy updates.
• Prepare materials for fund boards and internal committees.
• Assist with annual compliance reports and regulatory filings.
• Provide regulatory guidance on projects and new products.
• Support internal audits, risk assessments, and regulatory exams.

Skills

Regulatory knowledge

Analytical thinking

Stakeholder management

Writing skills

Team collaboration

Attention to detail

Education

Bachelor’s degree

Advanced degree

Tools

Microsoft Office

Regulatory filing systems

Job description

Charles Schwab Corporation is seeking an experienced compliance professional to help monitor, update policies, and provide guidance on investments and asset management regulatory matters. You will work with cross-functional teams and assist with regulatory filings and board materials.

The position emphasizes collaboration, thoughtful problem solving, and proactive risk management as Schwab expands its wealth and asset management operations.