Managing Director - Operations Control, Process Control

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Job ID:
20180110-246
Job Category:
Brokerage Operations & Trading
Relevant Work Experience:
Financial Services-6+ yrs, Risk Analysis
Current Licenses / Certifications:
None
Position Located In:
AZ - Phoenix
Education:
BA/BS
Job Type:
Full Time
Description:

Phoenix - AZ, PHXPEAK, 2423 E Lincoln Dr, 85016-1215
James D Hapgood
20180110-246

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: 

Operational Services Control strives to be a liaison to our Operational Services and Client Business Partners. Our mission is to protect the client, firm assets and information by partnering with businesses and technology. As a business liaison we offer a variety enterprise-wide functional control services that will assist our partners in balancing efficiency, cost, and risk while ensuring regulatory and corporate policy compliance. Primary responsibilities of our organization include: Access and Entitlements, Asset Reconciliation, Customer Protection, Customer and Account Data Control, Record Retention, Supervisory and QA support, Regulatory and Audit filing support. Brief Description of Role: You will play a leadership role in the continued development of the Operational Control Program and be specifically responsible for the development of the Operational Process Control Vertical.  

What you’ll do: 

  • Optimize the control environment through a risk based and proactive approach, by assessing resources deployed vs. risk mitigation being delivered to the firm.
  • Build partnerships with business lines and developing a continuous feedback loop.
  • Seek to identify areas in business processes where controls can be implemented or enhanced.
  • Assess Operations’ control environment, seeking opportunities to move from detective to preventative controls.
  • Consider all operational areas to understand and measure control improvement opportunities, including Process automation and transformation.
  • Develop and Lead a Monitoring and Testing function that gives visibility to performance of controls through robust reporting and analytics.
  • Engage in numerous change initiatives to ensure control integrity is maintained and new risks are identified and mitigated.
  • Work with senior leadership and business partners to identify and prioritize initiatives to strengthen the Operations control environment.
  • Identify areas where Operational Services Control can continue to evolve, particularly with technology, and complimentary business controls.
  • Cultivate and maintain high level of employee engagement across all locations and establish a work environment that allows individuals to flourish.
  • Develop and monitor key business metrics to ensure progress against projects and timely delivery against all service level agreements.
  • Transform employees and the work they do by developing and implementing analytical and innovative solutions. 

What you have: 

The ideal candidate will possess the following capabilities: 

  • Excellent understanding of control and oversight concepts with demonstrated ability to apply knowledge across operational job functions.
  • 5 – 8 years of work experience, preferably in a risk, control, or oversight environment.
  • Excellent teamwork, interpersonal and communication skills with demonstrated ability to thrive in a Leadership team environment.
  • Proven ability to identify opportunities for improvement and influence others to help drive change.
  • Experience transforming complex business processes to create simplified solutions.
  • Strong organization skills with a demonstrated ability to implement ideas. 

You demonstrate these behaviors:

Persuasive Communication - The ability to plan and deliver oral and written communications that are impactful and persuasive with their intended audiences.

Analytical Thinking - Approaching a problem by using a logical, systematic, sequential approach.

Conceptual Thinking - Finding effective solutions by taking a holistic, abstract or theoretical perspective.

Business Acumen - Ability to perform with insight, acuteness, and intelligence in the areas of commerce and/or industry. Make decisions and act in situations in which there is not enough information to be certain of outcome or implications of the decision.

Results Orientation - Focusing on the desired end result of one’s own or one’s units work; setting challenging goals, focusing effort on the goals, and meeting or exceeding them. 

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: None
Relevant Work Experience: Financial Services-6+ yrs, Risk Analysis
Position Located In: AZ - Phoenix
Education: BA/BS
Job Type: Full Time

Category:Brokerage Operations & Trading
Activation Date: Monday, January 29, 2018
Expiration Date: Thursday, March 1, 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.