Analysis Skills, Asset Management, Business Support, Communication Skills, Continuous Improvement, Data Analysis, Detail Oriented, Economics, Fiduciary, Finance, Financial Services, Fixed Income Investments, Investment Funds, Investment Management, Language Interpreter, Legal, Maintain Compliance, Microsoft Visual Basic, Mutual Funds, Operations Management, Order Management, Organizational Skills, Portfolio Analysis, Problem Solving Skills, Process Improvement, Product Management, Product Support, Regulations, Relational Databases (RDBMS), Risk, Risk Analysis, Risk Management, SQL (Structured Query Language), System Validation, Team Player, Time Management, Workflow Analysis, eCommerce
Your Opportunity
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.
What you have
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.
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The Charles Schwab Corp
The Charles Schwab Corporation is a leading provider of financial services, with more than 300 offices. Through its operating subsidiaries, the company provides a full range of securities brokerage, banking, money management and financial advisory services to individual investors and independent investment advisors. Named "Highest in Investor Satisfaction with Self-Directed Services" by J.D. Power and Associates in 2009, its broker-dealer subsidiary, Charles Schwab & Co., Inc. (member
SIPC) affiliates offer a complete range of investment services and products including an extensive selection of mutual funds; financial planning and investment advice; retirement plan and equity compensation plan services; referrals to independent fee-based investment advisors; and custodial, operational and trading support for independent, fee-based investment advisors through Schwab Advisor Services.
The Charles Schwab Bank (member FDIC) provides banking and mortgage services and products. To meet the needs of our clients, we are actively recruiting people with the desire, drive and creativity to find solutions that help meet our clients' needs; who want the chance to learn, grow with the company and explore their career opportunities; who will strive for excellence in achieving our clients' and our company's goals; who have the highest ethical standards - individuals who take pride in making a difference in people's lives.