Senior Compliance Manager - Investment Advisory_

Westlake

**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.

In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices building client trust and safeguard the integrity of the Firm.

The Senior Manager will join an engaging and dynamic team supporting our business partners. This role will be responsible for providing compliance advice and guidance to Charles Schwab Investment Management, Inc. (CSIM), also known as Schwab Asset Management, and to the Schwab Funds/Schwab ETFs (the Funds) consistent with the Investment Advisers Act of 1940 and/or the Investment Company Act of 1940 while maintaining an enterprise-wide view of compliance risks. This role will support the Schwab ETFs, fixed income products, trading and affiliated transactions. This role is an individual contributor role reporting to the Managing Director, Compliance.

Day-to-Day Responsibilities will include:

+ Serving as the subject matter expert on a variety of compliance-specific topics and providing compliance advice and guidance to business partners

+ Assess proposed regulations for impact on the business, and develop and implement procedures to address relevant changes

+ Manage strong relationships with business partners and compliance colleagues alike

+ Understand and support business strategy, partnering with business leadership and product development teams through strong relationships with business partners

+ Participate in cross-affiliate projects

+ Support and participate in regulatory exams, internal audits and internal compliance testing

+ Additional projects and tasks based on business need and potential coverage gaps

**What you have**

Required Qualifications:

+ BS/BA degree or equivalent work experience

+ 6-8+ years of compliance, legal and/or regulatory experience in asset management, preferably in an investment adviser/investment company compliance role

+ Deep competencies in relevant financial services, investment advisory and/or investment company regulation, securities laws and other regulations. ERISA experience is a plus

Preferred Qualifications:

+ Embraces an enterprise view in identifying, assessing, mitigating, measuring, and monitoring Compliance risks consistent with the Enterprise Risk Management Framework

+ Superior communication skills, both written and verbal, including the ability to develop concise and effective communications tailored to specific audiences

+ Ability to analyze issues and develop plans on a systemic level, thinking through potential connections and impact across the Schwab ecosystem, and developing roadmaps to achieve long term vision through short term deliverables

+ Ability to work independently and within a geographically dispersed team while managing multiple complex projects

+ Client focus; ability to effectively and quickly build relationships and establish trust, respect, competence and confidence.

**What’s in it for you**

At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

+ 401(k) with company match and Employee stock purchase plan

+ Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions

+ Paid parental leave and family building benefits

+ Tuition reimbursement

+ Health, dental, and vision insurance

What’s in it for you:

At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

401(k) with company match and Employee stock purchase plan

Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions

Paid parental leave and family building benefits

Tuition reimbursement

Health, dental, and vision insurance

Schwab is an affirmative action employer, focused on employing and advancing in employment, qualified women, racial and ethnic minorities, protected veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at [email protected] or call 800-275-1281.