Full-time
Sr Investment Advisory Compliance Manager - Charles Schwab - Boston, MA

Description: Boston - MA, WNWMAIP, One International Place, 02110-2600
Debra Andrea Mandell
20190205-701
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: In Compliance, we help our Business Partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the Firm. We accomplish this through providing advice and guidance to our business partners regarding the applicability of rules and regulations; advice on policies, procedures and controls; reviewing marketing materials, advertising and other communications with the public. We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join our Charles Schwab Investment Advisory, Inc. (CSIA) Compliance Team as a Senior Manager. The Senior Manager will serve as a key Compliance Business Partner and assist the Chief Compliance Officer in developing, maintaining and administering the Compliance Program for CSIA as a registered investment adviser under Rule 206(4)-7. CSIA is an SEC-registered investment advisory firm and is a wholly-owned subsidiary of the Charles Schwab Corporation and is located in San Francisco, CA, Boston, MA and Denver, CO. Our mission at Charles Schwab Investment Advisory (CSIA) is to provide the highest quality portfolio advisory services and research on investment managers to CSIA’s and Charles Schwab’s clients and the advisors who serve them. CSIA is a subsidiary of The Charles Schwab Corporation and an affiliate of Charles Schwab & Co., Inc. CSIA is responsible for managing the ThomasPartners Strategies, which invests primarily in dividend paying stocks from companies that it believes have the ability to grow their dividends, the Windhaven Strategies, Schwab Managed Portfolios and Schwab Intelligent Portfolios (“SIP”) which are diversified asset allocation portfolios comprised of either mutual funds or ETFs. Current assets under management are approximately $70 billion. CSIA also performs the manager research and evaluation functions for Schwab's Managed Account Select platform, and also researches and identifies funds/ETFs for Schwab's lists such as the Mutual Fund OneSource Select List. This growing team of more than 100 investment professionals has diverse backgrounds which encompass quantitative financial research, investment manager due diligence, and portfolio management and trading. What you’ll do: The Senior Manager of Compliance for Windhaven will report directly to the Chief Compliance Officer. This position will have responsibilities relating to all aspects of the Investment Advisers Compliance Program created under Rule 206(4)-7. In addition to broad responsibilities related to the CSIA Compliance Program, the Senior Manager of Compliance will: Build relationships with Compliance, Risk and Legal Colleagues and key Business Partners including investment management, client and relationship management, trading and operations, sales and marketing and product management. Serve as the Subject Matter Expert on a variety of specific compliance topics. Serve as advisor to governance committees. Oversee, execute and/or support specific functional responsibilities that support the Compliance Program including: Review, support and guidance of Sales and Marketing programs and initiatives. The development and execution of the Compliance Risk Assessment and Compliance Testing. Regulatory filings and registrations Portfolio compliance and guidance to both portfolio managers and trading. AML/OFAC Program Assess proposed regulations for impact on the business, and develop and implement procedures to address relevant changes. Additional projects and tasks based on business need and potential coverage gaps. Review and update the Compliance Manual and related desktop procedures. Participate in cross-affiliate projects. Oversee development, annual review and participate in the presentation of compliance training. Support and participate in regulatory exams and internal audits. What you have: At least 7 years of experience with working knowledge of the Investment Advisers Act of 1940 and other federal securities laws governing investment adviser compliance programs. Strong writing skills and ability to communicate to, and influence effectively, all levels of an organization. Ability to think strategically with sharp analytical skills and strong attention to detail and accuracy. Ability to independently identify opportunities to improve and enhance the compliance program. Ability to identify and solve complex issues in a team environment working with various levels of management and business partners. Experience writing, maintaining and revising policies and procedures. Experience working with Compliance Risk Assessments, portfolio compliance oversight and trading teams. Highly effective organizational, prioritization, and time management skills. Bachelor’s Degree, (CFA, CFP or Series 65 preferred). 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: Sabbatical, 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 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.

Job Specifications Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Regulatory, Risk Analysis, Compliance
Position Located In: MA - Boston, TX - Westlake
Education: BA/BS
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Thursday, February 7, 2019
Expiration Date: Friday, March 1, 2019
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