Charles Schwab has been a leader in financial services for nearly four decades, working to make investing more affordable, accessible and understandable to all. Driven by our purpose to champion every client's goals with passion and integrity, we're committed to providing an environment that respects and appreciates the diversity of our employees, our clients, and the communities we serve. Our goal, as seen through clients' eyes, is that Schwab continuously improves on being a premier financial service provider through best in class service, technology, products, people and advice.
Organizational Objective/Purpose:
The Schwab Center for Financial Research also known as SCFR provides the Schwab viewpoint on investing and financial planning strategies that are disciplined, practical, and help individuals become financially fit.
Brief Description of Role:
This position is part of the SCFR research team that is responsible for ensuring that the firm is in compliance with the regulatory requirements under the relevant FINRA, SEC, or other regulations. The position will report to the Managing Director, Portfolio Analysis, Advice Tools and Policy. General job duties include:
- Perform principal review of general advertising/sales literature materials to be distributed to firm's internal reps, clients, and prospects
- Review materials to be broadcast that may be in any/multiple formats such as print, audio, video, digital, social
- Review performance-related marketing materials
- Work with internal business units in developing, drafting and maintaining policies and procedures to ensure compliance with applicable laws and regulations
- Work effectively with content authors and compliance, legal, editorial, and other business units that are spread geographically across time-zones
- Other duties as assigned
Technical/Functional Qualifications:
- Must be knowledgeable of SEC, MSRB, and FINRA advertising/CWTP rules
Excellent oral and written communication skills with a focus on attention to details - Must be a well-organized self-starter with high energy; Must be able to manage multiple tasks by setting priorities and being results-orientated to meet defined time lines
- Must have the ability to work independently and in a team environment
- Demonstrate a high level of ethics and professionalism
- Proven expertise in Microsoft Office and other productivity tools; Familiarity with market data vendors' tools/products/services is desirable
- Bachelor Degree required
- Must have at least five years experience in financial services industry
- Must have previous experience working with broker-dealers and financial research analysts; Subject matter experience across various types of financial products, asset classes, and investor segments will be highly desirable
- FINRA Series 24 license required
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