Senior Fund & Advisory Compliance Lead

Charles Schwab; Austin (TX); Hybrid; USD 120,000 - 160,000; Full time

Job summary

Charles Schwab is seeking a seasoned Compliance professional to join the Wealth & Asset Management Compliance team. You will maintain and enhance compliance programs for multiple investment advisers, funds, and ETFs, while providing guidance on a broad set of regulatory matters.

In this role, you will collaborate across the enterprise to support growth, manage complex issues, and deliver timely, accurate compliance solutions.

Qualifications

• 5+ years of experience in compliance, risk, audit within investment advisory, wealth management, or asset management.
• Knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940 is required.

Responsibilities

• Perform compliance monitoring and review policies and procedures.
• Prepare materials for the fund board and internal committees.
• Assist with annual compliance reports under Rule 38a-1 and 206(4)-7.
• Support regulatory disclosures and filings (e.g. Form ADV).
• Assist with oversight of third-party service providers and risk assessments.

Skills

Analytical thinking

Stakeholder management

Strategic thinking

Writing & communication

Independent work

Education

Bachelor's degree

Advanced degree

Tools

Excel

Job description

Charles Schwab is seeking a seasoned Compliance professional to join the Wealth & Asset Management Compliance team. You will maintain and enhance compliance programs for multiple investment advisers, funds, and ETFs, while providing guidance on a broad set of regulatory matters.

In this role, you will collaborate across the enterprise to support growth, manage complex issues, and deliver timely, accurate compliance solutions.