Branch Supervision Analyst

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Job ID:
Job Category:
Relevant Work Experience:
Regulatory, Financial Services-2-5 yrs, Compliance
Current Licenses / Certifications:
FINRA Series 66, FINRA Series 10, FINRA Series 7, FINRA Series 9
Position Located In:
IN - Indianapolis, TX - Westlake
Job Type:
Full Time

Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616
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.

What you’ll do:

The Branch Supervision Analyst for the Branch Network will review various reporting outputs in effort to identify trends, patterns and/or issues evident within a branch location or in relation to a Registered Representative.  The Centralized Supervisory Analyst will be responsible for completing portions of PBS for their assigned Branches in relation to sales practice, operational analysis and Registered Representative reviews.  They will work in close partnership with the Relationship Manager and 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. Work includes monthly and quarterly reviews of various branch activities. Secondary responsibilities will be to investigate activities as warranted, partner with the Support and Technology team to ensure reporting is effective and reviews are efficient and serve as Subject Matter Expert.

  • Performing data and risk analysis and synthesizing that information for follow up and reporting
  • Identifying, escalating and addressing issues and potential trends and outlier behaviors
  • Completion and reporting of branch monthly PBS assigned to their review
  • Provide ongoing feedback on reporting to assist with identification of sales practices issues and creation of efficiencies
  • Work in close partnership with the Relationship Manager to provide consistent, effective and objective risk guidance based on a deep understanding of regulatory and firm policy.
  • Developing and maintaining strong internal relationships with key partners:  Compliance, Legal, Partner Support, NSD, CAT and others
  • Assisting in identifying, assessing, and recommending improvement to the core processes
  • Delivering outstanding business results

What you have:

  • Minimum of 3 years of experience in a financial services—supervision and controls, service and operations, project management.  Prior upervision and controls experience strongly preferred.   
  • Full commitment and passion to serving the needs of franchisees, clients, employees, and shareholders 
  • Familiarity with PBS execution and related supervisory resources; including but not limited to eBar, SASR, MARS, SABI, iConsole, and Insigh
  • Advanced technical skills, including proficiency in MS Office and the aptitude to learn new programs, as well as easily utilize multiple applications simultaneously.
  • Preferred working knowledge of Schwab internal systems, tools, and resources; including but not limited to Client Central, MARS, and IWIN
  • Ability to gain the respect, trust, and support of leadership, partners, and peers
  • Proven analytical skills with a level of attention to detail in order to adhere to policies, procedures and guidelines
  • Superior written and verbal communication skills, including being able to synthesize data, develop recommendations, and influence partners
  • Strong ability to multi-task, adhere to intensive deadlines and easily adapt to change
  • Ability to work with minimal oversight of day to day responsibilities
  • Active FINRA Series 7 & 63 (or 66) required /Active FINRA Series 8 (9/10) 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/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.

Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: FINRA Series 66, FINRA Series 10, FINRA Series 7, FINRA Series 9
Relevant Work Experience: Regulatory, Financial Services-2-5 yrs, Compliance
Position Located In: IN - Indianapolis, TX - Westlake
Education: HS/GED
Job Type: Full Time

Activation Date: Friday, October 6, 2017
Expiration Date: Saturday, November 18, 2017
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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.