Senior Code of Ethics Analyst

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Job ID:
Job Category:
Relevant Work Experience:
Financial Services-6+ yrs, Investment Management - 6+ yrs, Regulatory, Banking-6+ yrs, Compliance
Current Licenses / Certifications:
Position Located In:
CO - Lone Tree, MA - Boston
Job Type:
Full Time

Boston - MA, WNWMAIP, One International Place, 02110-2600
Jose Tolentino

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:

IMS (Investment Management Services) Compliance supports Schwab's institutional investment advisory businesses including Charles Schwab Investment Management (CSIM), the Schwab Funds, Charles Schwab Investment Advisory (CSIA), Windhaven Asset Management and Thomas Partners Inc.  This support includes administering the CSIM and Schwab Funds regulatory compliance program.

We are currently offering the opportunity for a dynamic and engaging Investment Management professional to join our IIMS Compliance team as a Senior Code of Ethics Analyst. The Senior Code of Ethics Analyst is responsible for day-to-day quality assurance and oversight of the implementation of controls prescribed in the Code of Ethics and Personal Trading Policies of Schwab’s Institutional Investment Advisors. The Senior Code of Ethics Analyst  will continually evaluate the needs and parameters of the four Institutional Advisors’ Code of Ethics to make recommendations as to the effectiveness and adequacy of certain internal controls, policies, procedures and computer systems designed to achieve and/or monitor compliance with regulatory requirements. The overall goal of the Senior Code of Ethics Analyst  is to help mitigate brand, financial, legal and regulatory risk by closely monitoring personal trading, gifts and entertainment and political contributions.

What you’ll do:

  • Determine which employees will be deemed “Access Persons,” reviewing and approving requests for personal trading; monitoring for personal trading infractions; conducting required certification processes and maintaining relevant personal trading systems. 
  • Follow-up on infractions and report infractions to the Managing Director and the relevant Chief Compliance Officer. This monitoring includes conducting reviews and testing in a timely and comprehensive manner.  The Senior Code of Ethics Analyst will address and mitigate infractions, provide training as warranted and identify and escalate patterns and trends that were identified during testing. 
  • The Senior Code of Ethics Analyst will assist with project managing the implementation of various. Code of Ethics and Personal Trading initiatives based on business and regulatory needs for the Institutional Advisors.
  • Keep current on rules, regulations, policies and procedures necessary to effectively and adequately conduct monitoring.

What you have:

The successful candidate must possess the following skills:

  • Bachelor’s Degree.
  • At least 8 years of compliance experience (e.g. Code of Ethics, 17j-1, 204a-1, etc.) in the mutual fund and/or investment management/advisory industry (or similar), is preferred.
  • Strong project management skills.
  • Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
  • Strong written and verbal communication skills with demonstrated ability to communicate effectively.
  • A results orientation with a strong sense of accountability.
  • Strong critical thinking and judgment.
  • Highly organized, with a strong attention to detail.
  • Basic proficiency with MS Word, Excel and PowerPoint.
  • Experience with the following software is preferred / optional: Compliance 11 and/or iTrade.

What you’ll get:

  • Everyday Wellness: Healthy Rewards, 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/affirmative action employer committed to diversifying its workforce. All applications are considered without regard to race, color, religion, sex, sexual orientation, national origin, age, disability, protected veteran status (disabled veterans, recently separated veterans, active duty wartime or campaign badge veterans, Armed Forces service medal veterans), or based on any individual's status in any group or class protected by applicable federal, state or local law.

Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Financial Services-6+ yrs, Investment Management - 6+ yrs, Banking-6+ yrs, Regulatory, Compliance
Position Located In: CO - Lone Tree, MA - Boston
Education: BA/BS
Job Type: Full Time

Activation Date: Wednesday, October 18, 2017
Expiration Date: Wednesday, November 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.