Indianapolis - IN, INDYC, 8332 Woodfield Crossing Blvd, 46240-2482
Don Carlos Collins
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.
Supervision & Controls is an independent group and is responsible for ensuring adherence to regulatory and corporate mandates for all sales activities performed within Schwab’s Investor Services business.
Supervision and Controls strives 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.
Policy Control Managers (PCM) within the Supervision & Control Branch support area are FINRA registered professionals with significant experience applying supervisory best practices across the wealth management industry and branch networks. Policy and Control managers are leadership positions and a PCM utilizes extensive electronic communications to manage teams, monitor client account and trade activity, identify trends and ensure a complaint business environment.
The preferred location for this role is Indy, Phoenix (Peak) or Westlake. Candidates in other locations will be considered.
What you’ll do:
As a Policy Control Manager (PCM), you will lead the Business Electronic Surveillance Team (BEST), which is comprised of 4 team members, to support the supervision of email, chat, text and social media interactions across the Investor Services business channels (Branch, CS&S and SPCIA).
The PCM is responsible for building the supervisory processes and tools required to identify, mitigate and manage supervisory issues within the Investor Services business; therefore the candidate will require technical supervisory knowledge, analysis and reporting skills to be successful in the role. To be effective in this role, the PCM must be able to work with all levels within the Schwab organization to identify issues and work with our business partners to implement solutions that increase supervisory controls and streamline processes.
In addition, the PCM is responsible for building BEST team member’s market expertise and product knowledge, and actively manage their career development.
- Provide leadership and accountability within and across teams/business
- Perform risk assessments and facilitate discussions to implement procedural controls and supervisory processes.
- Managing and participating in cross enterprise projects
- Establishing productive relationships with internal business partners
- Interviewing business partners to gather data and to create new and/or update existing procedures
- Partnering with Supervision & Controls areas to accurately documenting changes to procedures
- Support new product and services rollouts to clients
What you have:
- 8+ years supervision experience
- Strong knowledge and understanding of compliance and regulatory requirements applicable to the brokerage/investment advisory industry
- Excellent relationship management skills (negotiating, collaborating, influencing), including experience working with all levels of management
- Experience writing policies, procedures, training materials or other business control related documents
- Self-started and ability to work independently
- Intermediate knowledge of Microsoft office productivity tools
- Bachelor’s degree or equivalent work experience
- Active and valid FINRA Series 7, 66 (63/65), 8 or 9/10 required. 120 day COE
- FINRA Series 24 a plus
- Life and Health Insurance licenses is preferred but not required (may be offered as a 120 day COE
- Other licenses will be considered
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/affirmative action employer committed to diversifying its workforce. All applications are considered without regard to race, color, religion, sex, sexual orientation, national origin, age, disability, protected veteran status (disabled veterans, recently separated veterans, active duty wartime or campaign badge veterans, Armed Forces service medal veterans), or based on any individual's status in any group or class protected by applicable federal, state or local law.
||English - spoken
|Current Licenses / Certifications:
||FINRA Series 66, FINRA Series 10, FINRA Series 7, FINRA Series 9
|Relevant Work Experience:
|Position Located In:
||AZ - Phoenix, IN - Indianapolis
Activation Date: Wednesday, May 31, 2017
Expiration Date: Saturday, July 1, 2017