Strategic Wealth Management Compliance Director

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

Benefits offered by this job

401(k) with company match

Paid time off; volunteering and sabbat

Parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab in Austin, TX seeks a senior wealth management compliance professional to provide expert guidance on regulatory and internal policy matters across Schwab’s advisory programs.

You will influence strategic initiatives, monitor regulatory adherence, and partner with Chief Compliance Officers to enhance programs for Schwab and SWAI. The role emphasizes identifying complex issues and driving effective compliance solutions.

Qualifications

• 10+ years in wealth management compliance, risk, and/or audit.
• In-depth knowledge of the Investment Advisers Act of 1940 and relevant securities laws.
• Experience advising registered investment advisers and wrap program sponsors.
• Experience leading strategic initiatives and cross-enterprise projects.

Responsibilities

• Provide high-caliber compliance guidance on Schwab’s wealth management topics.
• Influence compliance, regulatory, and business initiatives; propose solutions that advance the business.
• Execute monitoring activities for regulatory requirements and internal policies.
• Partner with adviser Chief Compliance Officers to ensure robust programs for SWAI and Schwab.
• Identify and resolve complex compliance issues, including ambiguous matters.
• Interpret laws and assess regulations affecting wealth management operations.
• Review Form ADV and marketing disclosures.
• Support internal audits, risk assessments, and regulatory exams.
• Contribute to additional projects as needed.

Skills

Regulatory guidance

Compliance monitoring

Policy development

Stakeholder management

Audit collaboration

Strategic thinking

Communication skills

Education

Bachelor's degree

Advanced degree preferred

IACCP designation

FINRA 65/66 licenses

Job description

Charles Schwab in Austin, TX seeks a senior wealth management compliance professional to provide expert guidance on regulatory and internal policy matters across Schwab’s advisory programs.

You will influence strategic initiatives, monitor regulatory adherence, and partner with Chief Compliance Officers to enhance programs for Schwab and SWAI. The role emphasizes identifying complex issues and driving effective compliance solutions.