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Charles Schwab · 4 days ago
Portfolio Compliance Analyst
San Francisco, CA
Full-time
Hybrid
Entry, Mid Level
1+ years exp
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Insider Connection @Charles Schwab
Responsibilities
Ensure guidelines monitoring system is applying regulatory and internal guideline requirements correctly
Monitor and manage day to day trading activities of portfolio managers in mutual funds, ETFs, and separately managed accounts
Code new compliance tests and improve existing tests within the order management system
Support daily, weekly and monthly functions related to the monitoring of investment guidelines for Schwab products
Assist team with streamlining/automating existing processes and procedures as well as with special projects
Work with external vendors to ensure appropriate monitoring of investment products
Establish/maintain relationships with SAM business partners
Qualification
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Required
Bachelor’s degree preferred. Degree in Business, Economics, or related field preferred
At least 1-3 years experience within the Financial Services industry required
Strong knowledge of compliance rule coding and monitoring best practices
Strong organizational skills with keen attention to detail and accuracy
Ability to balance competing priorities with strict timeframes and deadlines and ability to multi-task in a fast-paced environment
Demonstrated problem-solving skills
Preferred
1-3 years experience with mutual funds and/or separately managed accounts preferred
Experience with investment management systems, especially Aladdin, Vestmark, CRD, Allvue (Everest) strongly preferred
Experience with relational databases and interpreting coding languages especially SQL or advanced use of Excel and Excel formula functions
General understanding of 1940 Act requirements a plus
Experience in Compliance, Research, or Investment Risk a plus
Experience with various online trading resources, such as Bloomberg, preferred
Experience in Compliance, Research, or Investment Risk a plus
Benefits
401(k) with company match and Employee stock purchase plan
Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
Paid parental leave and family building benefits
Tuition reimbursement
Health, dental, and vision insurance
Company
Charles Schwab
We have plans for every turn you take.
10,001+ employees
Funding
Current Stage
Late StageLeadership Team
J
Jim McGreevy
Senior Project Manager
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