Charles Schwab Manager - Compliance in Lone Tree, Colorado

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 at http://www.aboutschwab.com/about/leadership/charles_schwab 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 $300 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:

CSIM Investment Guidelines Oversight is committed to promoting compliance principles and practices that build client trust and safeguard the integrity of CSIM. 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; designing thoughtful and practical policies and procedures. The Analyst will be focused on supporting portfolio guidelines monitoring and testing, and reporting requirements.

  • Support various daily, weekly and monthly functions related to daily surveillance surrounding investment guidelines of Schwab Fixed Income and Equity products

  • Identify violations and monitor adherence to investment guidelines

  • Ensure guidelines testing system is applying regulatory and investment guidelines tests correctly

  • Implement test plans and procedures in order to identify gaps or deficiencies of internal controls

  • Assist team with streamlining existing processes and procedures as well as with special projects as they arise

  • Support various daily, weekly and monthly functions related to daily surveillance surrounding investment guidelines of Schwab Fixed Income and Equity products

  • Identify violations and monitor adherence to investment guidelines

  • Ensure guidelines testing system is applying regulatory and investment guidelines tests correctly

  • Implement test plans and procedures in order to identify gaps or deficiencies of internal controls

  • Assist team with streamlining existing processes and procedures as well as with special projects as they arise

What you have:

  • At least 1 year of experience in the investment advisory industry in a Compliance, Research, Risk or Auditing role and 3 years of professional experience in the financial services industry.

  • Knowledge of the Investment Company Act of 1940, Rule 2a-7 under the Investment Company Act of 1940, Investment Advisers Act of 1940 and other federal securities laws.

  • Strong writing skills and demonstrated ability to communicate effectively.

  • Strong critical and imaginative thinking skills.

  • Attention to detail and organizational skills, with ability to multi-task deliverables in a fast paced environment

  • A strong sense of accountability with a drive for results.

  • Ability to work independently and as part of a team.

  • Professional maturity and ability to be discreet in working with highly sensitive information

  • Bachelor’s degree required.

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 at http://www.aboutschwab.com/careers/lifeatschwab/%22 .

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.

Position Located In: CO - Lone Tree, CO - Denver