Senior Wealth Management Compliance Lead

Charles Schwab Corporation; Southlake (TX); On-site; USD 150,000 - 230,000; Full time

Job summary

Charles Schwab Corporation seeks a senior compliance professional to support Schwab’s wealth management business. You will partner with Wealth and Asset Management Compliance and internal stakeholders to provide guidance on advisory programs, Form ADV disclosures, and regulatory requirements.

The ideal candidate has 10+ years in wealth management compliance, strong writing and communication skills, and a track record of influencing senior leaders.

Qualifications

• 10+ years of direct wealth management compliance, risk, and/or audit experience with broad and deep knowledge of the Investment Advisers Act of 1940 and related laws.
• Experience advising registered investment advisers and wrap fee program sponsors, with strong risk management.
• Involvement in enterprise-wide strategic initiatives and projects with senior leaders.

Responsibilities

• Provide high-caliber compliance advice on topics related to Schwab’s wealth management business.
• Guide compliance programs for advisory initiatives and related marketing disclosures.
• Execute compliance monitoring for adherence to regulatory requirements and internal policies.
• Partner with adviser Chief Compliance Officers to enhance and streamline programs for SWAI and Schwab.
• Identify and assist in resolving complex compliance issues across the firm.

Skills

Wealth management compliance

Regulatory knowledge

Strategic initiative experience

Stakeholder collaboration

Writing & communication

Education

Bachelor’s degree

Advanced degree favorable

Job description

Charles Schwab Corporation seeks a senior compliance professional to support Schwab’s wealth management business. You will partner with Wealth and Asset Management Compliance and internal stakeholders to provide guidance on advisory programs, Form ADV disclosures, and regulatory requirements.

The ideal candidate has 10+ years in wealth management compliance, strong writing and communication skills, and a track record of influencing senior leaders.