Supervision & Controls - Business Ananlyst - Technology & Reporting

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Job ID:
20161216-4271
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Financial Services-6+ yrs, Regulatory, Compliance
Current Licenses / Certifications:
FINRA Series 66, FINRA Series 10, FINRA Series 7, FINRA Series 9
Position Located In:
TX - Austin, AZ - Phoenix, TX - Dallas, CO - Lone Tree, IN - Indianapolis
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:

The Supervision & Controls Group (S&C) is an independent team responsible for providing supervisory support to Schwab Investor Services with direct supervision, escalation, oversight, analysis, and risk assessments to provide decision support to Schwab branches and teams that collectively make up Schwab Investor Services.  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:

To be effective in this role, the Manager must be able to work with all levels within S&C and the Schwab organization to identify issues and work with our business partners to implement solutions for new or improved supervisory controls and streamline processes.

Responsibilities include:

  • Collaborate with colleagues within the Business, S&C as well as other technical groups across the Firm in the design and implementation of solutions to meet project goals
  • Review and monitor supervisory components of systems and tools with tool owners  Prioritize business needs and work to develop requirements for implementation 
  • Assist with user testing, training 
  • Create and maintain review documentation
  • Act as a thought partner with S&C and business users
  • Establishing productive relationships with internal business partners
  • Gather requirements to create new and/or update existing processes and/or reporting and/or tool scenarios/models
  • Accurately documenting changes to procedural documents and mitigating impacts surrounding procedural change and implementation
  • Develop process improvements and efficiencies within Supervision and Controls
  • Assisting with any other assigned duties

What you have:

  • Experience developing business requirements for projects, reporting, technology initiatives or other business procedure related documents
  • Outstanding written and verbal communication skills, time management and organizational skills
  • Min 3-5 years of compliance and/or supervision experience in industry
  • Excellent relationship management skills (negotiating, collaborating, influencing)
  • Interest in creating change through process improvements and streamlining functions
  • Advanced knowledge of Microsoft Word, Excel, Outlook, Access, and PowerPoint
  • Ability to be a self-starter and work independently
  • Ability to adapt to changing business conditions
  • Ability to manage multiple projects in a fast paced, team environment
  • Demonstrated ability to prioritize business needs
  • Active and valid Series 7 and 63 is required
  • Active and valid Series 9/10 or 24 is required
  • Desire to obtain additional securities licenses
  • Bachelor’s Degree

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, TX - Dallas, CO - Lone Tree, IN - Indianapolis
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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.