Director, Compliance Advisor Services

Your Opportunity Schwab Compliance is seeking a Director to support the Advisor Services Enterprise. Advisor Services provides custodial and trading services to Registered Independent Advisors (RIAs). This role will be an individual contributor for a team that provides regulatory guidance to business partners on items such as changes to regulatory developments, existing products, and mitigation of issues as they arise. This Director role is an Individual Contributor with no direct reports.

What you're good at
The successful candidate will provide regulatory guidance to business and internal partners related to Schwab's advisor platform offerings.

Day to day responsibilities will include:

  • Actively participating in various committees and effectively challenging business partners when appropriate
  • Performing regulatory analysis of developments affecting retail product offerings
  • Coordinating with the Corporate Compliance group relating to various reporting responsibilities
  • Coordinating with the Global Compliance Testing Program, including reviewing test plans
  • Assisting in creating and maintaining Compliance policies and procedures
  • Participating in the annual Compliance Risk Assessment process in accordance with corporate standards


What you have
  • 10 plus years financial regulatory industry experience, preferably at a broker-dealer or investment adviser
  • 5-7 years in a compliance, control, or risk management role
  • Experience supporting custodial platforms for independent investment advisors a plus
  • Excellent knowledge of and practical experience with SEC and FINRA Rules
  • Up to date knowledge of recent regulatory developments, including familiarity with initiatives related to senior and vulnerable investors
  • Strong project management skills and the ability to organize & process large amounts of data/information
  • Excellent oral and written communication skills with the ability to influence, partner and collaborate with various groups, including senior business management
  • Proven experience working independently and prioritizing multiple projects based on regulatory risk and business needs;
  • FINRA Series 7, 63, and 24 licenses preferred
  • Bachelor's degree or equivalent industry business experience
  • Proficiency in Microsoft Office Programs (Word, PowerPoint, and Excel) required. Proficiency in SharePoint preferred


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