Sr Manager - Complex Account Team

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Job ID:
20170519-2531
Job Category:
Customer Service/Client Service
Relevant Work Experience:
Project Management-6+ yrs, Financial Services-6+ yrs, Project Management-2-5 yrs, International-6+ yrs, International-2-5 yrs, Financial Services-2-5 yrs, Risk Analysis, Compliance
Current Licenses / Certifications:
FINRA Series 10, FINRA Series 9
Position Located In:
AZ - Phoenix, FL - Orlando, CO - Lone Tree
Education:
BA/BS
Job Type:
Full Time
Description:

Phoenix - AZ, PHX4750A, 4750 E Francisco, 85044-5359
Lance Britton
20170519-2531

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:

Advisor Services is the leading provider of custodial, trading, technology and practice management to registered independent advisory firms. We provide access to sophisticated wealth-management services that help advisors attract and retain affluent clients, as well as profitably grow, compete and succeed in their business efforts.

Client Strategic Solutions (CSS) is a function within the Advisor Services Business that seeks to create solutions for our clients’ most complex needs while successfully managing various types of risk for Schwab and our clients.  They provide the voice of the Registered Investment Advisor client into Schwab’s centralized functions as well as design the distribution and roll-out strategies for client-facing product or project launches. Within CSS, the Complex Account Solutions Team (CAST) works specifically with complex accounts, including international accounts. 

 

What you’ll do:

The Senior Manager, Complex Account Team will be responsible for being the advocate for Advisor Services and creating the optimal client experience for regulatory changes that impact international and complex account offerings.  The primary function of this role includes ensuring Advisor Services employees and Advisors have proper information regarding international requirements and procedures and meet regulatory, legal, and compliance guidelines.

The ideal candidate should have a good understanding of international accounts, the diverse needs of RIAs and overall Advisor Services knowledge. The Senior Manager will actively participate in, and/or autonomously lead projects to completion in support of the team and the business, coordinate communication between Service/Sales/support teams and present information to business leadership. This individual contributor role will report to the Senior Team Manager and have the opportunity to gain exposure through work on critical / high visibility initiatives.

Individuals must have superior partnering skills as work typically requires a coordinated effort with team members and cross-functional business partners.  Members of the team who are highly successful demonstrate the ability to think creatively, develop recommendations that are data driven/fact-based, deliver results in a matrixed organization and have the flexibility and maturity to handle ambiguous situations.  Individuals with a bias for action and the ability to overcome obstacles to successfully execute on multiple projects simultaneously tend to perform well in the role.

 

What you have:

  • Minimum 5-7 years’ experience in financial services
  • Knowledge of Advisor Services business policies and procedures, products and services
  • Knowledge of international account types, structures (including layers) and associated documentation
  • Ability to assess regulatory impacts and communicate risk
  • Solid communication skills, both verbal and written, including the ability to condense policies and concepts into clear, concise language
  • Exceptional problem resolution skills as well as effective collaboration across departments to resolve issues, and the ability to build a consensus and persuade others in a matrixed organization
  • Ability to manage a project from inception to completion
  • Exceptional attention to detail and analytical skills
  • Exceptional relationship building skills with business partners
  • Exceptional business judgment including the ability to identify business risks and articulate those risks to business partners and all levels of management
  • Excellent knowledge with the suite of Microsoft Office products
  • Excellent time and resource management skills
  • Comfortable dealing with ambiguity
  • Bachelor’s degree or equivalent experience
  • Worthy candidates who do not meet all requirements may be considered for the role of Manager or Senior Specialist

Advisor Services Specific:

  • Strong experience with risk analysis, compliance or AML processes
  • Extensive experience developing processes, procedures and metrics
  • Licenses: Series 9/10 preferred
  • 3-5 years Advisors Services or working with registered investment advisors preferred

 

What you’ll 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 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.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: FINRA Series 10, FINRA Series 9
Relevant Work Experience: Project Management-6+ yrs, Financial Services-6+ yrs, Project Management-2-5 yrs, International-6+ yrs, International-2-5 yrs, Financial Services-2-5 yrs, Risk Analysis, Compliance
Position Located In: AZ - Phoenix, FL - Orlando, CO - Lone Tree
Education: BA/BS
Job Type: Full Time

Category:Customer Service/Client Service
Activation Date: Friday, June 9, 2017
Expiration Date: Monday, July 3, 2017
Apply Here
Apply Now    

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.