Director, Compliance – Schwab Wealth Advisory

Southlake, TX ; Austin, TX

Requisition ID 2025-110211 Category Legal & Compliance Position type Regular Pay range USD $150,000.00 - $200,000.00 / Year Application deadline 2025-05-06

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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. In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the firm. Schwab Wealth Advisory Compliance serves as a second line of defense oversight function for the Charles Schwab & Co., Inc. and Schwab Wealth Advisory, Inc. retail investment adviser entities within Schwab. This role will challenge and evolve the Compliance program to ensure alignment with regulatory expectations.

The Director, Schwab Wealth Advisory Compliance will serve as a second line of defense subject matter expert providing regulatory oversight and advice on first line policies, procedures, controls, and new products and services. This role will perform assessment of compliance risk and regulatory developments and provide advice to impacted business stakeholders on appropriate changes or enhancements to the control environment. The Director will partner with other subject matter experts across Compliance to provide an enterprise-wide perspective. The role will report to the Director of Schwab Wealth Advisory Compliance.

*This is an individual contributor position.

What you have

Required Qualifications:

10+ years industry experience, with a minimum of 5 years investment adviser compliance, SEC regulatory experience, or other related experience
Excellent knowledge and practical experience with the Investment Advisers Act of 1940 and its implementation within a retail advisory services platform
Up to date knowledge of recent regulatory developments, particularly around issues concerning advice for retirement accounts, tax advice, and wrap fee programs
Experience interpreting regulatory guidance and assessing compliance risk
Proficiency in Microsoft Office programs (Word, PowerPoint, Excel, SharePoint)

Preferred Qualifications:

Bachelor’s degree preferred, with post-secondary degree, viewed favorably
Investment Adviser Certified Compliance Professional (IACCP®) designation, FINRA Series 65 or 66 licenses a plus
Ability to independently identify opportunities for improvement and enhance a Compliance program
Established track record of building strong partnerships, driving consensus across cross-functional teams, and influencing decision making
Client focus; able to effectively and quickly build relationships and establish trust, respect, competence and confidence.
Proven ability to manage multiple, competing initiatives simultaneously
Demonstrated proficiency delivering verbal and written communications that are clear, concise, and impactful with their intended audiences
Strong emotional intelligence and executive presence

What’s in it for you

At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

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

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