Regulatory and Audit Oversight Manager

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Job ID:
20180314-1793
Job Category:
Investment Management & Research
Relevant Work Experience:
Financial Services-6+ yrs, Investment Management - 6+ yrs, Investment Management - 2-5 yrs, Financial Services-2-5 yrs
Current Licenses / Certifications:
None
Position Located In:
IL - Chicago
Education:
BA/BS
Job Type:
Full Time
Description:

Chicago - IL, IL150SW, 150 S Wacker Dr, 60606-4111
Axle J Marcoline
20180314-1793

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 $320 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. 

What you’ll do: 

Key activities for this candidate include, but are not limited to:

  • Electronic organization and maintenance of business documentation for the purposes of fulfilling auditing and testing requirements for examiners
  • Work with other internal team members to populate risk and control information for CSIM’s risk control self-assessments
  • Assist internal team members with the maintenance of CSIM’s record retention and documentation of controls efforts
  • Facilitate tracking of internal long-term issues and action plans
  • Review vendor SSAE16 user control considerations
  • Proactive approach toward learning and understanding of investment management functions and workflow processes
  • Excellent ability to utilize Excel and PowerPoint to generate reporting and presentation materials
  • Provide clear and concise communication to fellow team members and business stakeholders 

To learn more about the culture at Schwab, click here to meet our people.  

What you have:

  • Bachelor’s degree required; degree in Business or Finance highly preferred
  • Preferred 2 - 3 years background in financial institutions
  • Working knowledge of the asset management industry, the products and services offered through investment advisors, applicable rules and regulations and the current regulatory environment.
  • Excellent verbal and written communication skills
  • Self-motivated and flexible toward solving problems
  • Highly organized and detail oriented
  • Strong Microsoft Office skills including Excel, PowerPoint, SharePoint  

This is a summary only and duties and responsibilities may be changed from time to time, or over time

 What you’ll get:

  • Comprehensive Compensation and Benefits package.
  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts.
  • Work/Life Balance: Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program.
  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions.
  • 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, Investment Management - 2-5 yrs, Financial Services-2-5 yrs
Position Located In: IL - Chicago
Education: BA/BS
Job Type: Full Time

Category:Investment Management & Research
Activation Date: Monday, April 16, 2018
Expiration Date: Tuesday, May 22, 2018
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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.