Senior Manager, Fund & Advisory Compliance — Hybrid & Growth

Charles Schwab; Omaha (NE); Hybrid; USD 90,000 - 150,000; Full time

Benefits offered by this job

401(k) match

Employee stock purchase plan

Vacation & sabbatical

Parental leave

Tuition reimbursement

Health insurance

Dental insurance

Vision insurance

Job summary

Charles Schwab in Omaha, NE is seeking a senior Compliance professional to join the Fund & Advisory Program Compliance team. You will influence compliance programs for retail and institutional advisers, mutual funds, and ETFs, providing guidance on federal and state securities laws and regulatory filings.

Key responsibilities include monitoring compliance, updating policies, preparing materials for the fund board and internal committees, and supporting regulatory disclosures.

Qualifications

• 5+ years of experience in compliance, risk, audit in investment advisory, wealth management, and/or asset management

Responsibilities

• Focus on compliance monitoring and reviews of policies and procedures
• Prepare materials for fund board and internal committees
• Prepare annual compliance reports under Rule 38a-1 and 206(4)-7
• Assist with regulatory disclosures and filings (e.g. Form ADV)
• Support ongoing oversight of third-party service providers
• Provide compliance guidance on regulatory topics and business initiatives
• Investigate and resolve complex compliance issues
• Interpret laws, rules, and regulations affecting the organization
• May participate in internal audits, risk assessments, and regulatory exams
• Contribute to additional projects per business needs

Skills

Analytical thinking

Stakeholder management

Strategic thinking

Writing & communication

Relationship building

Change management

Attention to detail

Independent & team work

Education

Bachelor’s degree and advanced degree or education

Job description

Charles Schwab in Omaha, NE is seeking a senior Compliance professional to join the Fund & Advisory Program Compliance team. You will influence compliance programs for retail and institutional advisers, mutual funds, and ETFs, providing guidance on federal and state securities laws and regulatory filings.

Key responsibilities include monitoring compliance, updating policies, preparing materials for the fund board and internal committees, and supporting regulatory disclosures.