Manager, Investment Compliance and Fiduciary Oversight

At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us challenge the status quo and transform the finance industry together.

We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location(s).

As an Investment Guidelines Oversight Manager within Schwab Asset Management (SAM), you’ll play an important role in protecting shareholder and client interests by helping ensure investment guidelines are accurately applied, monitored, and maintained across Schwab proprietary mutual funds, ETFs, collective trusts, and separately managed accounts. This individual contributor role sits at the intersection of investment oversight, risk awareness, and operational excellence, where your work helps uphold the fiduciary standards our clients and fund shareholders expect.

In this role, you’ll monitor portfolio manager and sub-advisor trading activity for adherence to investment guidelines and agreements, code and enhance compliance tests within platforms such as Aladdin or comparable systems, and help validate that rules are implemented accurately and monitored effectively. You’ll also support reporting needs, assess workflows for improvement opportunities, and apply strong analytical thinking to complex issues where precision, sound judgment, and business risk awareness matter.

Success in this role requires close collaboration across SAM, including Compliance, Legal, Portfolio Management, Investment Risk, Trade Operations, and Product Management. You’ll work across functions to deliver reliable oversight, support business partners with effective system solutions, and stay current on regulatory and industry developments that shape investment guideline monitoring. If you’re energized by meaningful work, continuous improvement, and using your expertise to drive accuracy, transparency, and trust, this is an opportunity to make a measurable impact.

Required Qualifications

• 4+ years of experience in the financial services industry, including 4+ years of relevant experience working with investment management systems
• Experience supporting investment products across equities, fixed income, and money market funds
• Strong data analysis skills with the ability to interpret information, identify risk, and make informed decisions in a highly regulated environment
• Experience coding or supporting investment rule monitoring and compliance testing within an order management or compliance platform such as Aladdin or an equivalent system
• Experience with relational databases and interpreting coding languages, especially SQL or Visual Basic
• Demonstrated ability to solve complex problems, balance competing priorities, and adapt in a fast-paced environment with strict deadlines
• Strong attention to detail, organization, and communication skills, with the ability to build collaborative relationships across teams and business partners

Preferred Qualifications

• Bachelor’s degree in Business, Economics, or a related field
• Experience monitoring both mutual fund and ETF investment activity
• Experience with investment management systems such as BlackRock Aladdin, Charles River, or Vestmark
• General understanding of 1940 Act requirements
• Experience in Portfolio Analysis, Research, or Investment Risk
• Familiarity with Bloomberg or other online trading and investment resources
• Demonstrated strength in process improvement, workflow analysis, and implementing solutions that improve oversight while minimizing business risk

In addition to the salary range, this role is also eligible for bonus or incentive opportunities.