Director, Asset Management Compliance

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.

 

What you will influence

• 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.

What you have

Your experience gives you the credibility to navigate complex regulations, influence decisions, and help the business move forward with confidence.

 

Required Qualifications:

• 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 strategic initiatives or significant cross-functional projects involving senior leaders.
• Experience preparing written guidance and presenting compliance recommendations to business, compliance, legal, risk, audit, or governance stakeholders.

Preferred Qualifications:

• Bachelor’s degree or advanced degree in a related field.
• Experience supporting a registered investment adviser, proprietary mutual fund complex, ETF business, or SMA platform.
• Experience participating in or presenting to internal governance committees or fund boards.
• Knowledge of product development, portfolio oversight, regulatory disclosures, or investment product distribution channels.
• Experience supporting internal audits, risk assessments, or regulatory examinations.
• Experience mentoring colleagues or serving as a subject-matter resource within a compliance organization.