Senior Manager, Fund Regulatory Reporting & Compliance

Charles Schwab; Chicago (IL); On-site; USD 92,000 - 160,000; Full time

Benefits offered by this job

401(k) with company match

Employee stock purchase plan

Paid time off and sabbatical program

Parental leave and family benefits

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab in Chicago seeks a Senior Manager to supervise regulatory filings and financial reporting for mutual funds and ETFs within Schwab Asset Management. You will coordinate with third-party admins, ensure filings and audits are timely, and collaborate with Portfolio Management and Legal.

This on-site role requires staying current with regulatory changes and presenting updates to senior management, including the CFO and CEO as needed.

Qualifications

• Bachelor’s degree in Accounting, Finance, or Economics required.
• 6+ years of experience in mutual funds financial reporting or related areas.
• Strong knowledge of regulatory filings and financial reporting requirements.

Responsibilities

• Oversee and authorize fund filings including SEC Forms N-CSR, N-CSR iXBRL, N-1A support, 24f-2, and 17f-2.
• Prepare financial statements for registered funds, ETFs, interval funds and CT funds.
• Support SEC Forms N-MFP, N-PORT, and N-CEN filings.
• Lead and balance schedules with internal/external partners for filings.
• Identify process improvements; communicate with SAM leadership and external vendors.

Skills

Attention to detail

Regulatory filings

Financial reporting

Project coordination

Education

Bachelor’s degree in Accounting, Finance, or Economics

Tools

N-CSR

N-CSR iXBRL

N-1A

N-PORT

N-CEN

N-MFP

Job description

Charles Schwab in Chicago seeks a Senior Manager to supervise regulatory filings and financial reporting for mutual funds and ETFs within Schwab Asset Management. You will coordinate with third-party admins, ensure filings and audits are timely, and collaborate with Portfolio Management and Legal.

This on-site role requires staying current with regulatory changes and presenting updates to senior management, including the CFO and CEO as needed.