Phoenix - AZ, PHX4701A, 4701 E Francisco Dr, 85044-5365
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.
The Business Empowerment & Risk Solutions Group (BEaRS) is an independent team responsible for providing supervisory support to Schwab Investor Services with direct supervision, escalation, oversight, analysis, and risk assessments to provide decision support to Schwab branches and teams that collectively make up Schwab Investor Services. We 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.
What you’ll do:
To be effective in this role, the Manager must be able to work with all levels within BEaRS and the Schwab organization to identify issues and work with our business partners to implement solutions for new or improved supervisory controls and streamline processes.
- Collaborate with colleagues within the Business, BEaRS as well as other technical groups across the Firm in the design and implementation of solutions to meet project goals
- Review and monitor supervisory components of systems and tools with tool owners Prioritize business needs and work to develop requirements for implementation
- Assist with user testing, training
- Create and maintain review documentation
- Act as a thought partner with BEaRS and business users
- Establishing productive relationships with internal business partners
- Gather requirements to create new and/or update existing processes and/or reporting and/or tool scenarios/models
- Accurately documenting changes to procedural documents and mitigating impacts surrounding procedural change and implementation
- Develop process improvements and efficiencies within Supervision and Controls
- Assisting with any other assigned duties
What you have:
- Experience developing business requirements for projects, reporting, technology initiatives or other business procedure related documents
- Outstanding written and verbal communication skills, time management and organizational skills
- Min 3-5 years of compliance and/or supervision experience in industry
- Excellent relationship management skills (negotiating, collaborating, influencing)
- Interest in creating change through process improvements and streamlining functions
- Advanced knowledge of Microsoft Word, Excel, Outlook, Access, and PowerPoint
- Ability to be a self-starter and work independently
- Ability to adapt to changing business conditions
- Ability to manage multiple projects in a fast paced, team environment
- Demonstrated ability to prioritize business needs
- Active and valid Series 7 and 63 is required
- Active and valid Series 9/10 or 24 is required
- Desire to obtain additional securities licenses
- Bachelor’s Degree
What you’ll get:
- Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
- Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
- Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
- 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.
||English - spoken
|Current Licenses / Certifications:
|Relevant Work Experience:
||Brokerage Operations-2-5 yrs, Regulatory, Financial Services-2-5 yrs, Compliance
|Position Located In:
||TX - Austin, AZ - Phoenix, CO - Lone Tree, IN - Indianapolis, TX - Westlake
Activation Date: Tuesday, January 30, 2018
Expiration Date: Thursday, March 1, 2018