Senior Wealth Management Compliance Strategist

Charles Schwab; Omaha (NE); Hybrid; USD 150,000 - 210,000; Full time

Benefits offered by this job

401(k) match

Paid time off

Parental leave

Tuition reimbursement

Health insurance

Sabbatical after 5 years

Job summary

Charles Schwab is seeking an experienced Wealth Management Compliance professional to partner with Wealth and Asset Management Compliance and internal stakeholders. You will oversee advisory programs, provide strategic compliance guidance, and help evolve the compliance framework for SWAI and Schwab’s wealth offerings.

The role emphasizes collaboration, initiative, and delivery of robust compliance programs in a dynamic enterprise environment.

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 relevant federal and state securities laws, rules, and regulations
• Experience advising registered investment advisers and wrap fee program sponsors, with effective risk management
• Involvement in strategic initiatives and projects with senior leaders across an enterprise

Responsibilities

• Provide high caliber compliance advice and guidance on topics related to Schwab’s wealth management business
• Guide compliance, regulatory and business initiatives for advisory programs with creative solutions
• Execute compliance monitoring activities for regulatory and policy adherence
• Collaborate with adviser Chief Compliance Officers to strengthen programs for SWAI and Schwab
• Identify, investigate and help resolve complex compliance issues
• Interpret and assess laws and regulations affecting wealth management operations
• Review adviser disclosures and marketing materials
• Support internal audits, risk assessments and regulatory exams
• Contribute to additional projects as needed

Skills

Strategic thinking

Regulatory compliance

Stakeholder management

Communication

Analytical reasoning

Team collaboration

Education

Bachelor's degree

Advanced degree or IACCP

Job description

Charles Schwab is seeking an experienced Wealth Management Compliance professional to partner with Wealth and Asset Management Compliance and internal stakeholders. You will oversee advisory programs, provide strategic compliance guidance, and help evolve the compliance framework for SWAI and Schwab’s wealth offerings.

The role emphasizes collaboration, initiative, and delivery of robust compliance programs in a dynamic enterprise environment.