Director, Asset Management Compliance

About the role

Your opportunity At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together. Join Schwab’s Asset Management Compliance team in a highly visible director role where your judgment and regulatory expertise will help shape the future of our asset management business. You will partner with leaders across Wealth and Asset Management, Compliance, Legal, Risk, and the business to enable responsible growth, strengthen client trust, and protect the integrity of the firm. As a senior individual contributor, you will influence the compliance strategy supporting Charles Schwab Investment Management, Inc. (CSIM), Schwab’s proprietary mutual funds, exchange-traded funds (ETFs), and separately managed accounts (SMAs). Your work will guide important business and regulatory decisions, advance strategic initiatives, and help ensure our compliance programs continue to evolve as products, markets, and regulations change. This is an opportunity to bring creative thinking to complex questions, earn the confidence of senior stakeholders, and make an impact at enterprise scale. You will have room to deepen your expertise, expand your network, contribute to innovation, and mentor colleagues while working with a collaborative, geographically dispersed team.

Responsibilities

• Provide strategic compliance guidance that enables Schwab’s asset management business to pursue growth opportunities while managing regulatory and client risks.
• Shape solutions for complex or ambiguous compliance matters involving investment products, portfolio restrictions, disclosures, governance, and regulatory change.
• Strengthen and evolve compliance programs for CSIM and Schwab’s proprietary mutual funds, ETFs, and SMAs.
• Partner on significant business, regulatory, audit, risk assessment, and examination matters, translating requirements into practical, sustainable outcomes.
• Build trusted relationships across the enterprise and serve as a thought partner and mentor within Asset Management Compliance.

Requirements

• 10 or more years of direct experience in asset management compliance, risk, or audit.
• Demonstrated working knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and applicable federal and state securities laws, rules, and regulations.
• Experience advising on mutual funds, ETFs, or separately managed accounts, including equity, fixed income, or other investment strategies.
• Experience assessing and resolving complex compliance issues within an asset management environment.
• Experience contributing to