Senior Director, Asset Management Compliance

Charles Schwab; Orlando (FL); Hybrid; USD 190,000 - 280,000; Full time

Benefits offered by this job

401(k) with company match

Employee stock purchase plan

Sabbatical after five years

Paid parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab is seeking a senior director to shape the compliance strategy for CSIM and Schwab’s funds, ETFs, and SMAs. You will partner with leaders across Wealth and Asset Management, Compliance, Legal, Risk, and the business to enable responsible growth and protect client trust.

You will influence major programs, mentor colleagues, and contribute to enterprise-scale initiatives while working with a geographically dispersed team in a hybrid environment.

Qualifications

• 10+ years of direct experience in asset management compliance, risk, or audit.
• Deep knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and related laws.
• Experience advising on mutual funds, ETFs, or SMAs.

Responsibilities

• Provide strategic compliance guidance that enables Schwab’s asset management business to pursue growth opportunities while managing regulatory and client risks.
• Shape solutions for complex or ambiguous compliance matters involving investment products, portfolio restrictions, disclosures, governance, and regulatory change.
• Strengthen and evolve compliance programs for CSIM and Schwab’s proprietary mutual funds, ETFs, and SMAs.
• Partner on significant business, regulatory, audit, risk assessment, and examination matters, translating requirements into practical, sustainable outcomes.
• Build trusted relationships across the enterprise and serve as a thought partner and mentor within Asset Management Compliance.

Skills

Asset management compliance

Regulatory guidance

Governance

Stakeholder collaboration

Strategic thinking

Education

Bachelor's degree

Advanced degree

Job description

Charles Schwab is seeking a senior director to shape the compliance strategy for CSIM and Schwab’s funds, ETFs, and SMAs. You will partner with leaders across Wealth and Asset Management, Compliance, Legal, Risk, and the business to enable responsible growth and protect client trust.

You will influence major programs, mentor colleagues, and contribute to enterprise-scale initiatives while working with a geographically dispersed team in a hybrid environment.