Director, Investment Advisor Governance

Charles Schwab • Westlake, TX

122d

About The Position

Schwab's Wealth & Advice Solutions (WAS) organization offers industry-leading wealth management services to both retail and registered investment advisor (RIA) clients. The team is responsible for Schwab's wealth management strategy, while delivering industry-leading experiences, through solutions like Schwab Wealth Advisory (SWA) and Schwab Advisor Network (SAN), along with a broad range of investment products and solutions. Schwab continues to evolve its Wealth Management capabilities to meet the diverse needs of our clients. This includes enhancing the services and capabilities available across our advice spectrum, with focus on flagship full-service advisory offering, Schwab Wealth Advisory. To support this transformation, the WAS Business Unit Risk Team is hiring a Director to manage and enhance Schwab's Investment Advisory governance routines, including inter-affiliate relationship management, regulatory reporting, and committee facilitation. This role will be instrumental in shaping the governance, infrastructure, and supervisory frameworks that enable scalable, compliant, and client-centric delivery of advanced wealth management services.

Requirements

• 8+ years of experience in risk management, supervision, or control functions within financial services.
• Relevant experience managing risk in the 1st line, 2nd line, or Legal.
• Deep understanding of wealth management services, including portfolio management, financial planning, estate planning, and tax planning.
• Experience designing governance frameworks and supervisory programs with expertise in Investment Advisory structures.
• Proven ability to lead cross-functional initiatives and influence senior stakeholders.
• Excellent written and verbal communication skills that showcase executive presence and ability to tailor narratives for specific audiences.
• Strong analytical and strategic thinking skills, with the ability to translate complex concepts into actionable plans.
• Comfort with ambiguity and a demonstrated ability to thrive in a dynamic, fast-paced environment.
• Series 7 & 63 preferred.
• Proficiency in Microsoft Word, Excel, PowerPoint, and Outlook.

Responsibilities

• Revising the Investment Advisory inter-affiliate governance model to support cross-functional collaboration and oversight.
• Building foundational infrastructure to support accurate and timely reporting of regulatory assets under management (RAUM).
• Developing oversight, monitoring, and reporting for our Wealth Advisor practice standards and facilitating alignment to our supervisory program design.
• Partnering with Legal, Compliance, and Technology teams to ensure risk mitigation strategies are embedded in new products and service models.
• Facilitating and developing content for offer and product level governance meetings.
• Proactively identifying opportunities to reduce governance overhead by eliminating duplication or non-value add activities to improve efficiency.

What This Job Offers

• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities