Wealth Management Compliance Director (Hybrid)

Charles Schwab; Southlake (TX); Hybrid; USD 150,000 - 190,000; Full time

Benefits offered by this job

401(k) with company match

Employee stock purchase plan

Paid vacation

Sabbatical after 5 years of service

Paid parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Schwab is seeking an experienced compliance professional to support its wealth management advisory programs and regulatory framework. In this individual contributor role, you will guide compliance for Schwab’s advisory offers, including SWAI and wrap platforms, and partner with leaders across Wealth and Asset Management Compliance.

You will lead monitoring activities, address complex issues, and help evolve the compliance program while coordinating with senior stakeholders in a dynamic,

Qualifications

• 10+ years of wealth management compliance experience with knowledge of the Investment Advisers Act of 1940 and securities laws.
• Experience advising registered investment advisers and wrap program sponsors.
• Involvement in strategic initiatives with senior leaders across an enterprise.
• Relevant wealth management experience may be considered.

Responsibilities

• Provide high caliber compliance advice on topics related to Schwab’s wealth management business
• Influence compliance, regulatory, and business initiatives within advisory programs
• Execute compliance monitoring for regulatory adherence and internal policies
• Partner with adviser Chief Compliance Officers to ensure robust programs for SWAI and Schwab
• Identify and assist in resolving complex compliance issues
• Interpret laws, rules, and regulations affecting wealth management operations
• Review adviser disclosure documents and marketing collateral
• Support internal audits, risk assessments, and regulatory exams
• Contribute to additional projects as needed

Skills

Wealth management compliance

Regulatory advisory

Strategic initiatives

Cross-functional collaboration

Risk assessment

Regulatory exams

Stakeholder management

Written & verbal communication

Integrity & judgment

Education

Bachelor’s degree

IACCP designation or FINRA 65/66 licenses

Knowledge of ERISA and tax laws

Tools

Excel

Job description

Schwab is seeking an experienced compliance professional to support its wealth management advisory programs and regulatory framework. In this individual contributor role, you will guide compliance for Schwab’s advisory offers, including SWAI and wrap platforms, and partner with leaders across Wealth and Asset Management Compliance.

You will lead monitoring activities, address complex issues, and help evolve the compliance program while coordinating with senior stakeholders in a dynamic,