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Fiduciary Compliance Director

Phoenix, IL

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Job ID: ********-5011


Chicago - IL, BRILLP, 150 S Wacker Dr, 60606-4111
Debra Andrea Mandell

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every clients goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of own your tomorrow every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.
As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.
Our Opportunity:
The Compliance Department coordinates the ongoing maintenance and oversight of the fiduciary and trust compliance efforts, which includes providing advice on trust and investment activities; advising on federal and state banking and securities laws and regulations; developing policies and procedures to governing fiduciary activities; reviewing trust marketing materials; and monitoring and advising on changes to fiduciary regulatory requirements.
What youll do:
Under the direction of the Managing Director, the Compliance Director - Fiduciary is responsible for providing timely compliance advice and guidance to Banking and Trust Services trust divisions on policies, procedures and controls necessary to achieve compliance with regulatory requirements applicable to fiduciary activities.
The essential duties are:
* Provide timely compliance advice and guidance, consistent with Corporate Compliance Standards, to Banking and Trust Services on fiduciary activities, including policies, procedures and controls necessary to achieve compliance with federal and/or state regulatory requirements applicable to Personal and Business Trust activities
* Maintain a strong working knowledge of laws, regulations and agency guidance applicable to trust activities
* Monitor regulatory developments, in order to assess any impact to trust activities, identify and advise the Managing Director of emerging compliance issues
* Work with the Managing Director to assess compliance risk associated with the new trust products
* Provide input for the annual Compliance Risk Assessments
* Review marketing and advertising materials related to trust products
* Assist in the maintenance of the Trust Regulations Inventory Matrix
* Assist in the development and production of standard and special purpose reports designed to provide the Board, Management and Committees with information to evaluate Compliance activities
* Participate in regulatory compliance examinations related to trust activities, including advance preparation and coordination of requested information
* Assist in the annual Training Needs Analysis and the development of the Annual Compliance Training Plan to ensure appropriate training is provided
* Escalates potential issues of non-compliance to the Managing Director or Chief Compliance Officer, as warranted
* Other duties as may be assigned
What you have:
* Ten years experience working in Trust Compliance at the managerial or director level
* Previous Banking/Financial Services/Trust regulatory experience
* Strong knowledge of fiduciary laws and ERISA regulations
* Exceptional communication skills that are clear, concise and tailored to the audience
What youll get:
* Comprehensive Compensation and Benefits package
* Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
* Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
* Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
* Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
* Not just a job, but a career, with an opportunity to do the best work of your life

Learn more about Life@Schwab.
Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwabs policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at ************. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwabs hiring decisions. All other submissions should be performed online.

Job Specifications:

Relocation Offered? No

Work Schedule Days

Languages English - spoken

Current Licenses / Certifications None

Relevant Work Experience Financial Services-6 yrs, Regulatory, Banking-6 yrs, Compliance

Position Located In TX - Austin, IL - Chicago, AZ - Phoenix, TX - Dallas

Education HS/GED

Job Type Full Time

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