Senior Fiduciary Compliance Manager

Charles Schwab – Boston, MA


Boston - MA, WNWMAIP, One International Place, 02110-2600
Debra Andrea Mandell

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every clients 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.

Our Fiduciary Risk program is looking for a Senior Manager to support the development of an enterprise-wide program and support the Fiduciary Risk Subcommittee in its governance function. This role serves as a vital member of the Fiduciary Compliance team and is appropriate for a proactive and detail oriented individual who enjoys working with different areas across Charles Schwab Corporation, including Advisor Services, Investor Services, Operational Risk Management, Business Trust Services, Personal Trust Services, and Institutional Investment Management Services.

What youll do:

Responsibilities for this role include supporting the administrative requirements of the Fiduciary Risk Subcommittee; compiling risk reporting from various systems; evaluating Fiduciary risk and metric related information; and collaborating with business partners and Corporate Risk and Compliance groups. This individual contributor role will be based in Chicago, Illinois.

Key Responsibilities include but are not limited to:

  • Assisting in the development and ongoing maturity of the Fiduciary Risk Program.
  • Gathering and analyzing Fiduciary Risk related reporting from various systems and sources; identifying trends and reporting.
  • Providing advice and guidance in support of various business projects implementing fiduciary related policies and procedures.
  • Supporting the development of fiduciary metrics across all applicable businesses and in various area of fiduciary risk.
  • Collaborating with the Corporate Compliance group supporting various initiatives.
  • Will keep current on rules, regulations, and policies applicable to fiduciary risk
  • What you have:

  • A Bachelors Degree
  • 5 - 8+ years of experience in the Compliance or Risk fields in the financial services industry, preferably in a fiduciary related area such as with an investment advisory firm or in the banking industry.
  • Experience with risk analysis and aggregation, particularly within the fiduciary risk area is strongly preferred.
  • Experience with governance oversight and committee level reporting, preferred
  • Ability to prioritize and collaborate with others within the team and across the organization.
  • Advanced communication skills, both verbal and written, with the ability to express oneself clearly in interactions with others.
  • Ability to work independently, and within a geographically dispersed team while managing multiple complex projects.
  • Proficient in Excel, Word, PowerPoint, and Outlook
  • Youll demonstrate these behaviors:

  • Analytical Thinking - Approaching a problem by using a logical, systematic, sequential approach.
  • Technical Expertise - Depth of knowledge and skill in a technical area.
  • Thoroughness - Ensuring that ones own and others work and information are complete and accurate; careful preparation for meetings and presentations; following up with others to ensure that agreements and commitments have been fulfilled.
  • Flexibility - Openness to different and new ways of doing things; willingness to modify ones preferred way of doing things.
  • Influencing Others - The ability to gain others support for ideas, proposals, projects, and solutions.
  • Building Collaborative Relationships - The ability to develop, maintain, and strengthen partnerships with others inside or outside of the organization who can provide information, assistance, and support.
  • What youll 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.
    Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. (Please click here to see policy.) Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace. We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.

    If you need an accommodation in the application process, please email or call HR Direct at 800-725-3535.

    Job SpecificationsRelocation Offered?: No
    Work Schedule: Days
    Languages: English - spoken
    Current Licenses / Certifications: None
    Relevant Work Experience: Banking-6+ yrs, Banking-2-5 yrs, Regulatory, Risk Analysis, Compliance, Financial Services-6+ yrs, Financial Services-2-5 yrs
    Position Located In: IL - Chicago, MA - Boston
    Education: BA/BS
    Job Type: Full Time

    Activation Date: Tuesday, May 21, 2019
    Expiration Date: Monday, July 1, 2019
    Apply Here

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