Description:
The Sr Manager, Compliance Analyst is an individual contributor that will be part of Schwab Asset Management (SAM). The overall SAM team is passionately committed to providing solutions that help Schwab clients achieve their financial goals.
Charles Schwab Asset Management (SAM) is the asset management arm of the Charles Schwab Corporation, and has over $500 billion under management in mutual funds, ETFs, and separately managed accounts. Products managed include a wide variety of active and indexed equity, fixed income, multi-asset, asset allocation strategies, and money markets funds.
It is the mission of the Investment Guidelines Oversight group to actively contribute in the success of our proprietary asset management business. Our group manages and is responsible for SAM’s regulatory and internal portfolio investment guidelines for equity, multi-asset, money market, and fixed income funds, including separately managed accounts, and reviews portfolio compliance against the stated policies and regulations.
The Investment Guidelines Oversight Sr Manager is primarily responsible for supervising trading activities of portfolio managers and traders to ensure compliance with agreements and investment guidelines. The Sr Manager will also focus on supporting portfolio guidelines monitoring and testing and reporting requirements. Ability to code guidelines using financial tools such as Vestmark, Aladdin, or equivalent trade order management system, is an important aspect of the position.
This role requires partnering with functional areas within SAM including product management, sub-advisor oversight, program management, vendor oversight, compliance, legal, finance, portfolio management, investment risk and trade operations. The role will also interact with internal auditors on periodic and annual audits and other external service providers performing accounting and custody functions. A key function of this role is the continued analysis of work flow and recommendation for process improvements along with capabilities to work independently on complex problem-solving initiatives. Additionally, this person will ensure that internal controls are documented, implemented and appropriately monitored. This role includes responsibility to stay abreast of regulatory changes and relevant industry changes/trends and implementing those changes on a go forward basis. This is an individual contributor role.
Primary responsibilities include:
Organization | Charles Schwab |
Industry | Management Jobs |
Occupational Category | Senior Manager |
Job Location | San Francisco,USA |
Shift Type | Morning |
Job Type | Full Time |
Gender | No Preference |
Career Level | Intermediate |
Experience | 2 Years |
Posted at | 2022-03-04 3:40 pm |
Expires on | Expired |