Advisor Enrollment - Associate

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Job ID:
0205-38503
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Analyst/Strategy-less than 2 yrs, Customer Service-less than 2 yrs, Brokerage Operations-less than 2yrs, Adminstrative Support-less than 2 yrs, Product Development-less than 2 yrs, Legal-less than 2 yrs, Communications-less than 2 yrs, Internal Audit, Investment Management - less than 2 yrs, Financial Services-less than 2 yrs, Regulatory, Accounting and Finance-less than 2 yrs, Risk Analysis, Project Management-less than 2 yrs, No Work Experience, Compliance
Current Licenses / Certifications:
None
Position Located In:
AZ - Phoenix, CO - Lone Tree
Education:
BA/BS
Job Type:
Full Time
Description:

Phoenix - AZ, PHX4750A, 4750 E Francisco, 85044-5359
Paul Guevara
0205-38503

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:

The Advisor Enrollment Associate Analyst will focus on conducting due diligence reviews for RIAs and investment advisors that custody business with Schwab. The due diligence reviews include reviewing Schwab company forms/agreements and disciplinary and financial history, opening and maintenance of master and sub-accounts, partnering with various business units to research and resolve escalated cases, and conducting analysis to provide decision support for the AS Advisor Enrollment team while balancing risk and firm reputation.

What you’ll do:

  • Assist in the growth of our business by supporting internal and external customers
  • Conduct business with respect for sensitivity to risk matters and ability to act in a diplomatic way and build strong partnerships with internal business units
  • Base business decisions on a sound analysis of risk
  • Understand risk and be able to develop proper mitigation when appropriate
  • Encourage appropriate escalation and resolution of risk issues
  • Acts in the best interest of customers, company and shareholders.
  • Partner with internal departments such as Sales to evaluate client suitability
  • Participate in special projects and performs other duties as assigned
  • Exemplify the vision and values of Schwab

What you have:

  • Bachelor’s degree or equivalent experience
  • Some financial services industry experience (brokerage preferred) 
  • Professional experience working in a fraud, audit, compliance or risk environment in the financial services industry is a plus
  • Strong research and analytical skills
  • Strong written and verbal communication skills
  • Strong attention to detail
  • Ability to execute challenging conversations with internal partners and external clients
  • Strong organizational skills with ability to work on multiple assignments and complete them within established deadlines
  • Ability to prioritize effectively in a fast paced environment and function in a professional manner under pressure
  • Ability to identify and solve complex issues in a team environment working with various levels of management and business partners
  • Positive attitude, enthusiasm, professionalism and strong work ethic with high level of integrity and ethics
  • FINRA Series 7 strongly preferred (or ability to obtain within 90 days of employment)

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.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Analyst/Strategy-less than 2 yrs, Customer Service-less than 2 yrs, Brokerage Operations-less than 2yrs, Adminstrative Support-less than 2 yrs, Product Development-less than 2 yrs, Legal-less than 2 yrs, Communications-less than 2 yrs, Internal Audit, Investment Management - less than 2 yrs, Financial Services-less than 2 yrs, Regulatory, Accounting and Finance-less than 2 yrs, Risk Analysis, Project Management-less than 2 yrs, No Work Experience, Compliance
Position Located In: AZ - Phoenix, CO - Lone Tree
Education: BA/BS
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Monday, February 5, 2018
Expiration Date: Tuesday, February 27, 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.