Senior Director, Asset Management Compliance & Strategy

Charles Schwab; Omaha (NE); Hybrid; USD 180,000 - 230,000; Full time

Benefits offered by this job

401(k) with company match

Paid time for vacation, volunteering,

Sabbatical after every 5 years of ser

Paid parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

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

You will guide regulatory programs and help ensure evolving compliance as products and markets change, mentoring colleagues and expanding your enterprise impact in a geographically dispersed team.

Qualifications

• 10+ years in asset management compliance, risk, or audit.
• Familiarity with the Investment Company Act of 1940 and Advisers Act.

Responsibilities

• Provide strategic compliance guidance enabling growth while managing regulatory and client risks.
• Shape solutions for complex compliance matters involving investment products, governance, and regulatory change.
• Strengthen and evolve compliance programs for CSIM and Schwab funds and SMAs.
• Partner on business, audit, risk, and examination matters and translate requirements into practical outcomes.

Skills

Regulatory expertise

Communication with senior leaders

Strategic thinking

Mentoring colleagues

Education

Bachelor’s degree or advanced degree in related field

Job description

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

You will guide regulatory programs and help ensure evolving compliance as products and markets change, mentoring colleagues and expanding your enterprise impact in a geographically dispersed team.