Senior Compliance Lead, Funds & Advisory Programs

Charles Schwab; Southlake (TX); Hybrid; USD 120,000 - 180,000; Full time

Benefits offered by this job

401(k) with company match

Employee stock purchase plan

Sabbatical after every 5 years

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab is seeking an experienced compliance professional to join the Wealth & Asset Management Compliance team. This individual contributor role focuses on maintaining and enhancing compliance programs for multiple advisers and Schwab funds, while advising on regulatory matters and new products.

You will collaborate with internal stakeholders and the broader compliance group to deliver timely, accurate guidance and help safeguard client trust.

Qualifications

• 5+ years of experience in compliance, risk, or audit in investment advisory, wealth management, or asset management.
• Knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and related securities laws.
• Strong written and verbal communication; ability to liaise with regulators and internal stakeholders.

Responsibilities

• Support compliance monitoring, review and update policies and procedures.
• Prepare materials for fund boards and internal committees; assist with annual compliance reports.
• Assist with regulatory disclosures and filings (e.g., Form ADV).
• Support oversight of third-party service providers and internal audits.
• Provide regulatory guidance on business initiatives within Schwab’s wealth and asset management businesses.

Skills

Investment advisory

Wealth management

Regulatory compliance

Risk assessment

Audit

Education

Bachelor’s degree and advanced degree

Job description

Charles Schwab is seeking an experienced compliance professional to join the Wealth & Asset Management Compliance team. This individual contributor role focuses on maintaining and enhancing compliance programs for multiple advisers and Schwab funds, while advising on regulatory matters and new products.

You will collaborate with internal stakeholders and the broader compliance group to deliver timely, accurate guidance and help safeguard client trust.