Sr. Team Manager, Advisor Services Middle Office

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Job ID:
20170623-3239
Job Category:
Brokerage Operations & Trading
Relevant Work Experience:
Trading-6+ yrs, Project Management-6+ yrs, Capital Markets-6+ yrs, Financial Services-6+ yrs, IT-Change Management/Release Management-6+ yrs, Communications-6+ yrs, Brokerage Operations-6+ yrs
Current Licenses / Certifications:
FINRA Series 24, FINRA Series 63, FINRA Series 10, FINRA Series 7, FINRA Series 9
Position Located In:
AZ - Phoenix
Education:
BA/BS
Job Type:
Full Time
Description:

Phoenix - AZ, PHXPEAK, 2423 E Lincoln Dr, 85016-1215
Paul Guevara
20170623-3239

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.

 

What you’ll do:

The Advisor Services (AS) Middle Office team is a dedicated group of Specialists that support complex custody and clearance needs of independent investment advisory and money management firms.  The team operates in a fast paced environment working with Advisors in processing all types of transactions to provide an excellent client experience.

The Senior Manager - AS Middle Office will lead a team of Operational Specialists focused on client relationships, institutional-level trading, Clearance and Settlement, regulatory and risk based rules and the personalized approach to service that Schwab is known for. 

Responsibilities include:

  • As a team leader set the overall direction for the team in regard to business results and client loyalty
  • Develop team members through coaching, career planning, and mentoring
  • Work directly with clients and other business partners to identify business development opportunities, enhance our platform, and continuously improve the advisor experience
  • Drive results while mitigating risk to firm through managing staff, workload, and achieving daily service levels
  • Represent the Middle Office organization on projects and initiatives impacting both clients and  employees

 

What you have:

  • Bachelor’s degree preferred or equivalent experience
  • FINRA Series 7, 63, and 9/10 licenses or 24 required
  • Deep understanding of Prime Brokerage, Clearance and Settlements, Regulatory Rules and requirements of a broker dealer  and General Back Office Operations
  • Minimum of 10 years Equity, ETF, Option Fixed Income Operational Experience
  • Minimum 10 years managing operational staff
  • Strong Project Management skills capable of running and problem solving for technical, work flow and regulatory implications. Working on concert collaborating at an enterprise level
  • Strong leadership and coaching skills with demonstrated success leading employee development
  • Expert knowledge of brokerage/financial services industry, Equity/ETF/Option/Fixed Income investment products, capital markets, trading and back office operations and technology that supports the business
  • Expert knowledge of trading strategies and the various algorithms leveraged through trade order management systems
  • Strong relationship, teamwork, and partnership skills with ability to evaluate opportunities and challenges from clients’ perspective
  • Strong presentation, written and verbal communication skills

 

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 24, FINRA Series 63, FINRA Series 10, FINRA Series 7, FINRA Series 9
Relevant Work Experience: Trading-6+ yrs, Project Management-6+ yrs, Capital Markets-6+ yrs, Financial Services-6+ yrs, IT-Change Management/Release Management-6+ yrs, Communications-6+ yrs, Brokerage Operations-6+ yrs
Position Located In: AZ - Phoenix
Education: BA/BS
Job Type: Full Time

Category:Brokerage Operations & Trading
Activation Date: Thursday, August 3, 2017
Expiration Date: Monday, September 4, 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.