Offer summary

Qualifications:

Bachelor's degree in Finance, Business Administration, or a related field., Minimum of 7 years of experience in compliance within the asset management industry., Strong understanding of regulatory requirements and risk management practices., Excellent analytical and communication skills..

Key responsibilities:

Oversee compliance programs and ensure adherence to regulatory standards.

Conduct regular audits and assessments of compliance processes.

Collaborate with internal teams to develop and implement compliance training.

Prepare reports for senior management and regulatory bodies.

Charles Schwab is a different kind of investment services firm – one that strives to disrupt the status quo of the traditional Wall Street approach on behalf of our clients. We believe today, as we did on Day 1, that when you find ways to improve the investing experience for your clients, then business results will follow. Social Media Disclosures Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value The Charles Schwab Corporation provides a full range of brokerage, banking and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (member SIPC), and its affiliates offer investment services and products. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products. Access to Electronic Services may be limited or unavailable during periods of peak demand, market volatility, systems upgrade, maintenance, or for other reasons. The Charles Schwab Corporation does not endorse third-party comments. TD Ameritrade, Inc. and TD Ameritrade Clearing, Inc., members FINRA/SIPC, are separate but affiliated companies and subsidiaries of TD Ameritrade Holding Corporation. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. This profile is designed for U.S. residents. Non-U.S. residents are subject to country-specific restrictions. Learn more about our services for non-U.S. residents. © 2022 Charles Schwab & Co., Inc, All rights reserved. Member SIPC. Unauthorized access is prohibited. Usage will be monitored. For additional information and disclosure please visit: http://www.aboutschwab.com/social-media-at-schwab (# 0722-2V1X)

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