Senior Manager, Communications Management & Review - SAM

Your Opportunity

Schwab remains committed to providing increased visibility to career growth opportunities and job requirements. This posting announcement is part of increased transparency and while all qualified applicants will be reviewed and considered, this organization has a preferred candidate identified for this role. 

The Senior Manager, Communications Management & Review will focus on supporting and managing the review and approval process for Schwab Asset Management (SAM) Communications with the Public (CWTP). These communications will include product-related marketing and sales collateral, investment adviser communications, request for proposals (RFPs), thought leadership content, fund commentaries, and other print and electronic communications. The Senior Manager will also assist in strategic planning to develop a sustainable service model for the SAM Business Communications Review team to support future business growth.

Success will require the Senior Manager to be a strategic thinker with a proficient knowledge of Communications with the Public FINRA and SEC requirements. The successful candidate will also have demonstrated experience in boosting awareness, understanding, and engagement of technical products among various audiences as well as being a self-starter.

What you are good at

Strategic Function and Role:

You will play a key role in the Communications Review process, supporting new regulations and initiatives by effectively managing and implementing business and industry requirements.

• Provide initial review and Series 24 Principal approval on all applicable communications to ensure business and regulatory standards are met
• Consult with Legal and Compliance personnel regarding the applicability of rules and regulatory requirements, internal guidelines and disclosure standards, and other risk related issues when reviewing and approving CWTP
• Meet regularly with distributor compliance teams to discuss trends, changes in guidance, and issues
• Inform the business unit of any changes in regulatory policies or rules relating to advertising and sales literature, and provide oversight in implementing those changes into communications
• Act as a liaison between document originators, Workfront project managers, and Legal and Compliance staff to resolve any complex issues or questions
• Monitor department production of business communications via the Workfront project management tool; provide management reporting and escalate issues
• Manage and facilitate annual review of all product positioning and collateral to ensure alignment with fund offering documents and internal investment guidelines

What you have

• Education: BS/BA degree or equivalent experience
• Professional licensing: FINRA Series 7/24 required
• 7+ years in the financial services industry, with experience producing and/or reviewing 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 and the current regulatory environment
• Experience with regulatory submission and review processes
• Ability to make sound, timely and risk-based decisions considering supervisory and regulatory expectations and business needs
• Ability to interpret regulatory guidance, adapt department procedures to rule changes, create policies or training material as necessary
• Collaborative nature and the ability to establish credibility and solid working relationships with key business partners throughout the organization
• Strong attention to detail
• Proficiency in Microsoft Word, Excel, PowerPoint and Outlook and Adobe Acrobat

This is a summary only and duties and responsibilities may be changed from time to time, or over time