In Compliance, we help our Business Partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the Firm. We accomplish this through providing advice and guidance to our business partners regarding the applicability of rules and regulations; advice on policies, procedures and controls; reviewing marketing materials, advertising and other communications with the public.
We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join our Charles Schwab Investment Advisory, Inc. (CSIA) Compliance Team as a Senior Manager. The Senior Manager will serve as a key Compliance Business Partner and assist the Chief Compliance Officer in developing, maintaining and administering the Compliance Program for CSIA.
CSIA is part of the Schwab Asset Management Solutions (SAMS) organization that includes two SEC-registered investment advisory firms – CSIA and Charles Schwab Investment Management (CSIM) which are wholly-owned subsidiaries of the Charles Schwab Corporation, with offices in San Francisco, CA, Boston, MA, Chicago IL and Denver, CO. CSIA will also be a registered limited purpose broker-dealer in 2020. Our mission at SAMS is to provide the highest quality portfolio advisory services and research on investment managers to SAMS’ and Charles Schwab’s clients and the advisors who serve them. SAMS is responsible for managing the Schwab mutual funds, Schwab ETFs, ThomasPartners Strategies, which invests primarily in dividend paying stocks from companies that it believes have the ability to grow their dividends, the Windhaven Strategies, Schwab Managed Portfolios and Schwab Intelligent Portfolios (“SIP”) which are diversified asset allocation portfolios comprised of either mutual funds or ETFs. SAMS also performs the manager research and evaluation functions for Schwab's Managed Account Select platform, researches and identifies funds/ETFs for Schwab's lists such as the Mutual Fund OneSource Select List and also researches equities for Schwab’s lists such as Schwab Equity Ratings. This growing team has diverse backgrounds which encompass quantitative financial research, investment manager due diligence, and portfolio management and trading.What youre good at
The Senior Manager of Compliance for CSIA’s Limited Purpose Broker-Dealer will report directly to the Chief Compliance Officer. This position will have responsibilities relating to all aspects of the Broker Dealer Compliance Program created under FINRA rules and coordinate with the CSIA Investment Advisers Compliance Program. In addition to responsibilities related to the broad CSIA Compliance Program, the Senior Manager of Compliance will: