Charles Schwab Corporation

Asset Management Risk and Business Oversight

Job Locations US-CO-Lone Tree | US-IL-Chicago
Requisition ID
Posted Date
3 weeks ago(5/11/2020 2:23 PM)
Investment Research & Management
Position Type
Full time

Your Opportunity

Schwab Asset Management Solutions’ (SAMS) Business Oversight group is responsible for providing supervision and reporting support to various departments within SAMS to identify, monitor, assess, and report status of department processes, supervision activities, risks and controls.


The overall SAMS team is passionately committed to providing solutions that help Schwab clients achieve their financial goals. SAMS includes:

  • Charles Schwab Investment Management (CSIM), the investment advisor for the Schwab Funds mutual funds and ETFs;
  • Charles Schwab Investment Advisory (CSIA), which includes all of our proprietary managed accounts, including Schwab Intelligent Portfolios, Schwab Managed Portfolios, Windhaven Investments and ThomasPartners;
  • The Schwab Center for Financial Research (SCFR), who provide industry insights for investors
  • The Asset Management Client Solutions (AMCS), responsible for leading Schwab’s 3rd party platforms, offering Mutual Funds, Managed Accounts, ETFs, Annuities & Insurance, and Alternative Investments.

What you’re good at

This role will primarily focus on the technical skills required for process improvement, automation and reporting in addition to providing support to the below oversight functions: 

  • Supporting regulatory and operational risk management and control issues
  • Support the processes and standards required to bring disciplined structure, risk management, and oversight
  • Analyze the effectiveness of risk management policies and procedures; identify emerging risk trends; gather data, conduct interviews, identify supervision issues, and conduct gap analysis; and develop and maintain written policies, procedures, and controls documents.
  • Work across multiple organizations to drive change and buy-in by working with and influencing key business partners by building effective working relationships across the three affiliates and their parent organization.
  • Supporting complex projects, maintaining accurate records of decisions, tracking and following up on those decisions, and be able to proactively and independently move projects forward.
  • Building and maintaining supervisory systems including monitoring, documenting and reporting activities.
  • Supports department supervisory reporting by collecting and coordinating internal data with various process owners.
  • Management of quarterly certifications that document employees’ acknowledgement of following department’s procedures
  • Management of supervision activities related to FINRA requirements for employee licensing, registration, professional designations, and continuing education.
  • May lead ad hoc projects with focus on efficiency, regulatory changes, and streamlining.
  • Assist teams with writing department policies and procedures to ensure appropriate controls are implemented to mitigate risk

What you have

  • Bachelor’s degree preferred.
  • 5 or more years in the financial services industry, with compliance, product management, or project management experience
  • MBA or advanced degree is a plus
  • Strong knowledge of Microsoft Word, Excel, Powerpoint, and Outlook
  • Comprehensive knowledge of the asset management industry and investment products, especially regulatory requirements and the current regulatory environment
  • Ability to work on multiple projects and prioritize based on regulatory risk and business needs
  • Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization.
  • Ability to think strategically; to anticipate industry developments and how they may impact our reporting requirements
  • Highly effective organizational, time management and project management skills
  • Good judgment and a strong attention to detail
  • Strong PC skills, including spreadsheet and word-processing software
  • Ability to multi-task in a fast-paced, dynamic environment
  • Ability to work independently with little supervision
  • Self-starter who thrives on managing projects and has a willingness to learn about a wide array of tasks and projects
  • Ability to understand the working environment and quickly adapt to changes
  • An eye toward continually improving processes with the objective of improving the client experience.

Skills Preferred:                                               

Highly proficient in Excel                                   

  • SQL
  • VBA

Database Management                                      

Report Automation                                           

Power Query


Compliance Exposure


Computer Program Knowledge Preferred:






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