Manager - Risk Analysis

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Job ID:
20180103-68
Job Category:
Risk Management
Relevant Work Experience:
Financial Services-6+ yrs, Administrative Support-6+ yrs, Analyst/Strategy-6+ yrs, Accounting and Finance-6+ yrs, Brokerage Operations-6+ yrs
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
Erika Jessica Pullem
20180103-68

 

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.

Advisor Services Custody Solutions Team (formerly the AS Business Acceptance Team) supports Schwab’s Advisor Services management by providing analysis, coordination, and resolution on a variety of policy exception requests.  The team also works with AS Sales and Service to find flexible solutions to complex situations.  We regularly interact with internal business partners such as (Corporate Counsel, Risk, and Compliance) to act as intermediary and assist / analyze / advise / manage policy exception decisions.  

What you’ll do:

An individual in this role will identify, research, analyze and highlight risks and legal issues which assist the business in making an informed decision.  The ideal candidate should have a good understanding of the diverse needs of RIAs, how they interact with their clients, Schwab Sales and Service and overall Advisor Service knowledge.  A Risk Analyst will interact with Legal Services, Compliance and other business partners to find solutions to complex situations.   

Individuals must have superior partnering skills as work typically requires a coordinated effort with team members and cross-functional business partners.  Members of the team who are highly successful demonstrate the ability to think creatively, find flexible solutions to complicated situations, develop recommendations that are data driven/fact-based, deliver results in a matrixed organization and have the flexibility and maturity to handle ambiguous situations.  Individuals with a bias for action and the ability to overcome obstacles to successfully execute on multiple projects simultaneously tend to perform well in the role.

This position will provide critical support to Advisor Conversion Services, Transition Consultants, Sales and Service for new Advisors transitioning to Schwab.  This manager will successfully manage unique and complex issues.  This role will quarterback requests from Advisor Conversion Services, Transition Consultants, Sales and Service that are not standard procedure or products for new Advisors to Schwab. 

What you have:

 

•  Strong verbal and written communication skills required.

•  Proven ability to interact effectively with internal and external business partners as well as Senior Management.

 

•  Knowledge of Advisor Services Business policies and procedures, products and services

 

•  Demonstrated experience in reaching resolution on complex issues.

 

•  Ability to build a consensus and persuade others in a matrixed organization

 

•  Strong analytical and problem solving skills

 

•  Good judgment skills – when to go deep and when to escalate issues will be critical to the success of this role

 

•  Comfortable dealing with ambiguity

 

•  Excellent time and resource management skills

 

•  Knowledge of Microsoft Office is required

 

•  Previous experience working in financial services with registered Investment Advisors (RIAs)

 

•  Bachelor’s degree or equivalent 7+ years of relevant experience

 

•  Legal experience / background preferred  

 

•  Experience in the securities, brokerage or financial services industry and/or working with regulatory and risk issues  

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, Administrative Support-6+ yrs, Analyst/Strategy-6+ yrs, Accounting and Finance-6+ yrs, Brokerage Operations-6+ yrs
Position Located In: AZ - Phoenix
Education: BA/BS
Job Type: Full Time

Category:Risk Management
Activation Date: Tuesday, January 30, 2018
Expiration Date: Wednesday, February 14, 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.