Settlement Operations Specialist -Brokerage Trading

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Job ID:
20170908-4657
Job Category:
Brokerage Operations & Trading
Relevant Work Experience:
Accounting and Finance-2-5 yrs, Brokerage Operations-2-5 yrs, Brokerage Operations-less than 2yrs, Accounting and Finance-less than 2 yrs
Current Licenses / Certifications:
FINRA Series 7, FINRA Series 6
Position Located In:
FL - Orlando
Education:
BA/BS
Job Type:
Full Time
Description:

Orlando - FL, ORL2, 1958 Summit Park Dr, 32810
Tammie Raven
20170908-4657

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.

Who we are:

We are a team that fully supports Schwab’s commitment to financial fitness. We focus on creating memorable service experiences by delivering superior, consistent, and seamless Settlement service to both various internal and external partners. We strive to provide accurate and timely resolution of open receive and delivery obligations while maintaining strict adherence to industry regulations and procedures. We build loyalty one interaction at a time.

Our Opportunity:

Responsibilities include but not limited to monitoring and timely settlement of Schwab’s domestic and international delivery and receive obligations, handing buy-ins, performing various reconciliation functions, managing and promptly responding to heavy traffic of email inquiries while maintaining high degree of accuracy and professionalism. The specialist will be in frequent contact with brokers and depositories such as DTCC and Citibank while working to resolve open firm obligations and other miscellaneous inquiries.

What you’ll do:

  • Demonstrate the ability to listen and solve problems resulting in positive service interactions, enhanced business efficiency and client relationships.
  • Demonstrate strong working relationships with Schwab’s operational and client-facing partners and all other support organizations. Take responsibility for delivering superior value and client service.
  • Continuously seek ways to educate and inform yourself about current policies, procedures, relevant industry news, online resources and products. Share information to educate peers and internal employees on available Schwab resources and policies when appropriate.
  • Participate in making the workplace an environment that leverages teamwork and client focus in delivering world class service by supporting colleagues, embracing diverse backgrounds, and maintaining a positive attitude.  Proactively share ideas on improved efficiency and ways to improve service. 
  • Display effective communication skills by respectfully listening to the ideas of others and offering support or providing alternate points of view (when appropriate).  Constructive feedback is encouraged and should be discussed openly, professionally and in an effort to work out solutions and alternative methods to resolve outstanding issues.
  • Be willing to shift priorities, work overtime (when needed/offered) and help the team with a positive attitude and offer assistance as needed to meet service standards.
  • Remain proficient in your assigned subject matter areas.
  • Proactively own your career. Seek new challenges and learning opportunities.  Play an active role in accomplishing self-directed professional goals (e.g.  Increasing your depth of knowledge on department subject matte/processes; taking steps to ensure you are invested in the current role; taking steps to learn more about other departments of interest (i.e. tagging, ghosting, etc.).
  • Participate and complete (both mandatory and elective) to strengthen the knowledge and skills necessary to perform your job functions.
  • Support team engagement by taking an active role in the establishment of a team action plan, actively participate in successful execution of the plan through the year and participate in recognition programs.
  • Ensure Service Level Agreements (SLA’s) and accuracy are met for processing transactions as well as monitoring of the comtrack queues and departmental email inbox.  

What you have:

  • Strong knowledge and understanding of street-side settlements and vendor utilities such as Obligation Warehouse, Smart Track and DTCC Settlement Web
  • Should have a good understanding of customer protection and various other rules and regulations such as 15c3-3 and FINRA 11810/11870 while being able to apply that knowledge in the day to day operations
  • The ability to work in a fast-pace environment with strict deadlines as well as working well in teams is a requirement
  • Strong knowledge and experience with Microsoft Excel is required
  • Prior Settlements experience is desired while a BA/BS degree is required
  • FINRA Series 7 required

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 7, FINRA Series 6
Relevant Work Experience: Accounting and Finance-2-5 yrs, Brokerage Operations-2-5 yrs, Brokerage Operations-less than 2yrs, Accounting and Finance-less than 2 yrs
Position Located In: FL - Orlando
Education: BA/BS
Job Type: Full Time

Category:Brokerage Operations & Trading
Activation Date: Wednesday, September 27, 2017
Expiration Date: Thursday, October 26, 2017
Apply Here
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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.