Supervision & Controls, Business Support - Project Manager

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Job ID:
20161110-3918
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Project Management-2-5 yrs, Regulatory, Compliance
Current Licenses / Certifications:
Series 7, Series 9, Series 10, Series 66
Position Located In:
TX - Austin, AZ - Phoenix, FL - Orlando, CO - Lone Tree, IN - Indianapolis, TX - Westlake
Education:
BA/BS
Job Type:
Full Time

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s 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:

Supervision & Controls is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis and supervisory risk assessments, to Schwab’s Investor Services (retail) group. Supervision and Controls vision is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective and unbiased risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment.=

What you’ll do:

We are looking for a Supervision Business Support Project Manager within Branch Supervision & Controls to support the Branch Network. Work includes gathering business requirements, supporting branch related projects, business analysis, process improvement, business reporting & trend analysis and generally supporting the S&C support teams who perform daily supervision of branch activities, inclusive of trading, advised offer enrollment review, communications, operational and other approvals/reviews as needed. 

The Business Support Project Manager must possess the skills necessary to work with business partners across the firm to effectively drive positive change; build effective working relationships with various levels of Branch Network employees from customer service to Regional Branch Executive. Candidate should possess extensive knowledge of Schwab branch business model, Schwab products and general understanding of branch compensation plan.  The ideal Candidate will have proven project management and process improvement skills with the ability to understand supervision and oversight processes with a track record of operating at both strategic and tactical levels. 

Candidate must possess the ability to influence others through the development of strong working relationships.   The candidate will operate in a fast paced environment and have the ability to make decisions based on sound judgment, with information at hand.

What you have:

  • 3+ years supervision experience
  • 5+ years project management and process improvement
  • Proven analytical and problem solving skills with the ability to understand process, gather business requirements and to develop strategic reporting and perform actionable trending analysis
  • Strong communication, influencing, and relationship building skills, including experience working with and presenting to all levels of management
  • Strong knowledge and understanding of compliance and regulatory requirements applicable to the brokerage/investment advisory industry
  • Time management, organization, and prioritization skills
  • The ability to work under intensive deadlines and manage multiple projects effectively
  • Bachelor’s degree or equivalent work experience 
  • Six Sigma green belt certification desired
  • Active and valid Series 7, 66 (63/65), 8 (9/10) desrired

What you’ll get:

  • Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
  • Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
  • 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 Schwab's 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.


Position Located In:TX - Austin, AZ - Phoenix, FL - Orlando, CO - Lone Tree, IN - Indianapolis, TX - Westlake
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Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's 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 800-725-3535. 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 Schwab’s hiring decisions. All other submissions should be performed online.

The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC , offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products.