Managing Director - Compliance

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Job ID:
20170316-1056
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Financial Services-6+ yrs, Investment Management - 6+ yrs, Compliance
Current Licenses / Certifications:
None
Position Located In:
CO - Lone Tree, CO - Denver, CA - San Francisco
Education:
BA/BS
Job Type:
Full Time
Description:

San Francisco - CA, SF211MN, 211 Main St, 94105-1905
Axle J Marcoline
20170316-1056

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all.  As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

Charles Schwab Investment Management (CSIM) is the asset management arm of the Charles Schwab Corporation, and has over $300 billion under management in mutual funds and ETFs. Products managed include a wide variety of active and indexed equity, fixed income, and asset allocation strategies, as well as money markets funds. CSIM uses a consistent and disciplined approach to investing across all our products and seeks to develop innovative new products to meet the core investing needs of our clients.

The Fiduciary Oversight Organization is the embodiment of CSIM’s deep commitment to providing the highest fiduciary standards to our clients and funds’ shareholders. Our clients can place the utmost trust and confidence in CSIM to manage their money because we provide the fiduciary expertise and resources that our investment team needs in order to act in our clients’ best interest.  We foster and support fiduciary accountability within the CSIM investment team by engaging in processes that allow CSIM to emphasize its high fiduciary standards, facilitating and promoting good governance, designing thoughtful and practical policies and procedures, and assisting Portfolio Management in ensuring compliance with regulatory guidance and internal guidelines.

CSIM Investment Guidelines Oversight team sits within the Fiduciary Oversight Organization and is committed to promoting investment compliance principles and practices that build client trust and safeguard the integrity of CSIM. We accomplish this through providing advice and guidance to our business partners regarding the applicability of rules and regulations; and monitoring CSIM’s portfolios relative to regulatory and internal guidelines.  The Managing Director of the Investment Guidelines Oversight will be focused on leading the team responsible for portfolio monitoring and testing, and related reporting requirements.  This position reports to the Fiduciary Oversight Officer. 

What you’ll do:

  • Lead team of investment compliance professionals who perform various daily, weekly and monthly functions related to daily monitoring of Schwab Funds relative to their investment guidelines and escalate issues as appropriate
  • Ensure the accuracy of investment guideline tests in the guidelines monitoring system by devising and implementing test plans which identify gaps or deficiencies in internal controls
  • Talent management and development
  • Act as a key investment partner to the Product Management, Compliance and Legal teams
  • Lead or participate in projects or tasks based on business need  

What you have:

  • Bachelor’s degree required, MBA/CFA or post-graduate degree highly preferred  
  • Extensive professional experience in the financial services industry ideally with 7 years of experience in the investment advisory industry in an oversight capacity
  • Experience managing a team of professionals
  • Knowledge of the Investment Company Act of 1940, Rule 2a-7 under the Investment Company Act of 1940,  Investment Advisers Act of 1940 and other federal securities laws.
  • Strong writing skills and demonstrated ability to communicate effectively
  • A bias for action, organized and detailed
  • Ability to influence and drive outcomes
  • A strong sense of accountability and professional maturity and discretion regarding content and interactions required in the role
  • Ability to work independently and as part of a team

What you’ll get:

  • Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
  • Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
  • Not just a job, but a career, with an opportunity to do the best work of your life

Learn more about Life@Schwab.

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law.

 

Charles Schwab & Co., Inc. will consider for employment qualified applicants with criminal histories consistent with San Francisco ordinance 17-14 and federal law and regulations applicable to Charles Schwab.

 


Job Specifications
Relocation Offered?: Yes
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Financial Services-6+ yrs, Investment Management - 6+ yrs, Compliance
Position Located In: CO - Lone Tree, CA - San Francisco, CO - Denver
Education: BA/BS
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Wednesday, March 22, 2017
Expiration Date: Saturday, July 1, 2017
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Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.

At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab’s hiring decisions. All other submissions should be performed online.

The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC , offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products.