Charles Schwab · 20 hours ago
Director, Investment Advisor Compliance Testing
US-TX-Westlake
Full-time
Onsite
Lead/Staff
$119K/yr - $265K/yrCharles Schwab is a financial services company, and they are seeking a Director of Compliance Risk Testing to lead a team responsible for assessing compliance with regulatory requirements in the investment advisory and asset management sectors. The role involves developing and executing a compliance risk-focused test plan, ensuring timely completion of compliance tests, and fostering relationships with key stakeholders to enhance risk management processes.
Financial Services
Responsibilities
Ensuring Compliance Risk Tests are completed accurately, completely, and in a timely manner and in accordance with Department standards, procedures, and methodology
Employing broad knowledge, understanding and awareness of compliance and regulations to inform, develop and evolve programs to meet Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Federal Reserve Bank (FRB), and other regulatory requirements and expectations
Cultivating relationships with Compliance Leadership and key stakeholders across Corporate Risk Management, Business, Legal and Internal Audit to partner, communicate, and report compliance risk testing methodology and results
Exerting influence across the department and enterprise to achieve desired outcomes
Maintaining a strong working knowledge of the company’s investment advisory/investment company/asset management, broker-dealer, and futures and foreign exchange businesses
Ensuring effective risk management as Schwab evolves through business and organizational change
Communicating team priorities and objectives, supporting team in execution of compliance risk testing, and escalating items to the Head of Compliance Risk Testing and leadership team, where appropriate
Working on various compliance related projects within the Department as needed
Qualification
Required
BS/BA degree
Exceptional leadership skills with a history of successfully developing, mentoring and motivating compliance teams to achieve strategic objectives
Demonstrated, in-depth expertise in the investment advisory and asset management industry with a proven ability to interpret and apply complex regulatory requirements (SEC, FINRA, FRB, etc.) to evolving business models and compliance programs
Ability to leverage strategic and analytical capabilities to make sound, timely and risk-based decisions considering supervisory and regulatory expectations and business needs
Experience working collaboratively with various groups with potentially disparate objectives
Ability to work on multiple projects, prioritize activities, and meet deadlines
Outstanding written and verbal communication demonstrating ability to effectively communicate/clearly articulate risks and testing results to leadership and key stakeholders
Strong proficiency in Microsoft Office Programs (Word, PowerPoint, and Excel) and SharePoint as well as MyGRC
Preferred
Professional licensing and/or compliance certifications preferred (e.g., CICCP, Investment Adviser Representative)
Company
Charles Schwab
We have plans for every turn you take.
Founded in 1973
10001+ employees
H1B Sponsorship
Charles Schwab has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (579)
2024 (468)
2023 (455)
2022 (705)
2021 (483)
2020 (282)
Funding
Current Stage
Late StageLeadership Team
J
Jim McGreevy
Senior Project Manager
Recent News
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