Advisor Conversion Consultant Sr. Specialist/ Manager

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Job ID:
0122-38203
Job Category:
Brokerage Operations & Trading
Relevant Work Experience:
Financial Services-6+ yrs, Customer Service-6+ yrs, Customer Service-2-5 yrs, Brokerage Operations-2-5 yrs, Financial Services-2-5 yrs, Brokerage Operations-6+ yrs
Current Licenses / Certifications:
FINRA Series 63, FINRA Series 7
Position Located In:
TX - Westlake
Education:
AA/AS
Job Type:
Full Time
Description:

Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616
Erika Jessica Pullem
0122-38203

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 Transition Services provides superior transition support to investment advisors who have chosen to custody their client business with Charles Schwab & Co. Schwab Advisor Services is an industry leader in the independent investment advisor space and is characterized by the following; a passion for service & team; a commitment to client satisfaction; creative thinking for problem resolution; a strong desire to succeed and to help others succeed; requires initiative & positive can-do attitude. 

What you’ll do:

As a member of the Advisor Conversion Services (ACS) team, the Conversion Consultant helps coordinate transitions for Investment Advisors that will be moving their book of business from their current custodian to Charles Schwab and Co.  To do this the Conversion Consultant will:

  • Work with Sales and various internal partners to complete each conversion project
  • Manage the workflow of multiple conversions, maintaining a strong band of communication between all internal business partners, and providing superior customer service to the onboarding advisor as their primary contact
  • Execute, follow-up, and proactively communicate status of work performed to internal and external business partners
  • Support positive relationships between the client and Schwab through successful internal partnerships
  • Identify potential risk situations for each transition deal with initiative to proactively resolve and escalate as required. 

This position can be filled at an Advisor Conversion Consultant Sr. Specialist or Advisor Conversion Consultant Manager level, depending on experience and skill set identified throughout the selection process.  Both roles are individual contributor opportunities.

What you have:

  • Manager level- Strong knowledge of the independent investment advisor industry, its regulations, and related procedures, practices, and challenges
  • Manager level- FINRA Series 7 & 63 required
  • Manager level- FINRA Series 9 & 10 preferred
  • Sr. Specialist level- FINRA Series 7 & 63 required
  • Sr. Specialist level- Financial services, brokerage operations and/or service experience
  • Excellent external and internal client communication and strong business writing skills
  • Ability to manage own workflow with limited supervision
  • Experience in delivering professional presentations to both large and small groups
  • Proficiency in MS Word, Excel, and operational/technical functions
  • Bachelor's Degree or equivalent experience required
  • Flexible to travel up to 30%

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. 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.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: FINRA Series 63, FINRA Series 7
Relevant Work Experience: Financial Services-6+ yrs, Customer Service-6+ yrs, Customer Service-2-5 yrs, Brokerage Operations-2-5 yrs, Financial Services-2-5 yrs, Brokerage Operations-6+ yrs
Position Located In: TX - Westlake
Education: AA/AS
Job Type: Full Time

Category:Brokerage Operations & Trading
Activation Date: Monday, January 22, 2018
Expiration Date: Saturday, March 10, 2018
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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.