Senior Manager, Asset Management Marketing Review

$87,800 - $135,000/Yr

Charles Schwab - Lone Tree, CO

Full-time - Mid Level

Lone Tree, CO

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

The Senior Manager, Asset Management Marketing Review at Schwab is responsible for overseeing the review and approval process for communications related to Schwab Asset Management (SAM). This role involves ensuring compliance with regulatory standards, managing product-related marketing materials, and developing a sustainable service model for the SAM Business Communications Review team. The position requires strategic thinking and a deep understanding of FINRA and SEC requirements, as well as the ability to enhance engagement with technical products across various audiences.

Responsibilities

• Support and manage the review and approval process for SAM Communications with the Public (CWTP).
• Provide initial review and Series 24 Principal approval on all applicable communications to ensure compliance with business and regulatory standards.
• Consult with Legal and Compliance personnel regarding regulatory requirements and internal guidelines.
• Meet regularly with distributor compliance teams to discuss trends and changes in guidance.
• Inform the business unit of changes in regulatory policies or rules and oversee their implementation into communications.
• Act as a liaison between document originators, project managers, and Legal and Compliance staff to resolve complex issues.
• Monitor department production of business communications via the Workfront project management tool and provide management reporting.
• Manage and facilitate the annual review of all product positioning and collateral.

Requirements

• BS/BA degree or equivalent.
• FINRA Series 7/24 required.
• 7+ years in the financial services industry with experience in product-related and investment adviser communications.
• Strong working knowledge of FINRA and SEC advertising rules and regulations, including FINRA Rule 2210 and SEC Rule 482.
• Comprehensive knowledge of the asset management industry and investment products, especially regulatory requirements.
• Experience with regulatory submission and review processes.
• Ability to make sound, timely, and risk-based decisions considering supervisory and regulatory expectations.
• Ability to interpret regulatory guidance and adapt department procedures accordingly.
• Collaborative nature with the ability to establish credibility with key business partners.
• Strong attention to detail.
• Proficiency in Microsoft Word, Excel, PowerPoint, Outlook, and Adobe Acrobat.

Benefits

• 401(k) with company match
• Employee stock purchase plan
• Paid time for vacation
• Paid time for volunteering
• 28-day sabbatical after every 5 years of service
• Paid parental leave
• Family building benefits
• Tuition reimbursement
• Health insurance
• Dental insurance
• Vision insurance