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Charles Schwab Sr. Manager, Regulatory Communications-Investment Advisor in Lone Tree, Colorado

Your Opportunity

Regulatory Communications – Investment Advisor - Sr. Manager will focus on the management of all regulatory distributions, administration and reconciliation of distributions for required regulatory filings including production of the Firms’ Form ADV, Disclosure Brochures, Brochure Supplements and Form CRS (Managed Account Disclosures) annually and on an ad hoc basis. This role will lead the production and distribution of regulatory communications for SAMS Managed Accounts, and may also support production and fulfillment of business and marketing communications, as needed.

What you are good at

  • Collaborate with internal and external business partners and vendors to ensure accurate and timely distribution of regulatory communications

  • Ensure all phases of the review and approval process are completed for Managed Account Disclosures

  • Handle the facilitation of the data requirements and collection, review and approval processes with multiple business partners for Managed Account Disclosures, ensuring all questions are addressed and all necessary sign-offs are appropriately documented

  • Handle document retention system to meet oversight requirements for Managed Account Disclosures distribution jobs

  • Complete special ad hoc projects with focus on increasing efficiency, implementing regulatory changes and streamlining processes

  • Support coordination of the printing and distribution (mail, email, web, internal stakeholders and systems and other business partners) of Managed Account Disclosures. Maintain company website pages describing the affiliated funds to prospects and clients

  • Perform as subject matter expert for Managed Account Disclosures for internal partners

  • Cross-train on other team functions. Responsibilities will vary based on department need and priorities

What you have

  • At least 5 years of relevant and proven experience in financial services with ADV regulatory and legal experience

  • Bachelor’s degree highly preferred (degree in Business or Finance a plus), or equivalent demonstrated experience in applicable fields

  • Knowledge of print production and desktop publishing standards is highly preferred

  • Outstanding written and verbal communication skills with demonstrated ability to communicate effectively with all levels of an organization and successfully collaborate with multiple business partners

  • Knowledge of the asset management industry and investment products, especially related to regulatory requirements for fund communications

  • High level of attention to detail and ability to adhere to policies and desktop procedures

  • Ability to work on multiple projects and prioritize based on business needs while adhering to strict deadlines and proactively identifying possible issues and resolutions

  • Highly effective planning, organization and project management skills

  • Solid proficiency using Microsoft Word, Excel, PowerPoint and Outlook

  • Strong technical skills, with ability to quickly learn online content management and production software/tools

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Why Schwab?

At Schwab, “Own Your Tomorrow” embodies everything we do! We are committed to helping our employees unleash their potential and achieve their dreams. Our employees get to play a central role in disrupting a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. We’re a modern financial services firm that stands apart from the industry, where you can go as far as your ambition takes you.

Hear from employees:What’s it like to work at Schwab! (

The benefits of working at Schwab : a package designed to empower your health, wealth, career and life.

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued.

The posted salary range describes the minimum to maximum range for this job description in the state of Colorado. The salary range is posted in accordance with the Colorado Equal Pay for Equal Work Act. The salary range for this same position may be lower or higher in markets outside of Colorado.

As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law.(Please click here to see policy.) (

Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace.

We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.

Job Locations US-CO-Lone Tree | US-TX-Westlake | US-IL-Chicago

Requisition ID 2021-67745

Posted Date 2 weeks ago (2/19/2021 3:14 PM)

Category Product & Project Management

CO Salary Range 84,200 - 145,800

Position Type Full time