Sr. Regional Investment Consultant

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Job ID:
Job Category:
Investment Management & Research
Relevant Work Experience:
Financial Services-6+ yrs, Investment Management - 6+ yrs
Current Licenses / Certifications:
FINRA Series 63, FINRA Series 7
Position Located In:
CO - Lone Tree
Job Type:
Full Time

Lone Tree - CO, DENR2, 9800 Schwab Way, 80124
Axle J Marcoline

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:

Charles Schwab Investment Management (CSIM), the asset management arm of Charles Schwab Corporation, has approximately $320 Billion in assets under management (AUM) and is one of the nation’s largest retail money managers.  CSIM provides a wide variety of products ranging from money market funds, index mutual funds, actively managed mutual funds, exchange traded funds and asset allocation fund-of-funds.  As a provider of core investment products, CSIM is both an important enabler in fulfilling Schwab’s mission of helping everyone be financially fit and critical engine in the company’s profitability and growth. 

The primary duty of the Senior Regional Investment Consultant will be to manage a defined geographic territory, performing consultative business development and relationship management functions to educate financial professionals on Charles Schwab Investment Management’s (CSIM) suite of products which include: ETFs, Index Funds (Strategic Beta and Cap-weighted), and Actively Managed Mutual Funds.  This will be achieved through strategic territory management, targeted prospecting and visit strategy, awareness campaigns including conference attendance and regional events.  The role will be based in Lone Tree, CO and generally conduct 40%-55% of activity out of the office, in the respective territory.

What you’ll do:

  • Role requires strong relationship management and business development skills and ability to articulate and educate on complex investment concepts to sophisticated industry professionals through group presentations and in-person, phone, and virtual technology meetings.
  • Role requires a track record of experience providing guidance to advisors on complex investment concepts and delivering against key business goals.  Individual will be known for achieving strong results, especially around NNA into CSIM products.
  • Role requires experience and success at building and maintaining strong relationships with Chief Investment Officers, Investment Due Diligence committees, wealth managers, financial advisors, retirement consultants, etc.
  • Sr. RIC covering Intermediary business partners will also be responsible for relationships at major network offices, branch offices, and OSJs (Office of Supervisory Jurisdiction) which influences business of multiple branch offices and financial professionals.
  • Act as Subject Matter Expert (SME) for all CSIM products and CSIM developed perspectives and thought leadership. Applies broad range of knowledge, skills and experiences within portfolio construction and investment management.
  • Detailed understanding of wealth management issues such as, investment & tax planning, retirement planning, and portfolio construction & management.
  • Uses broad business knowledge and experience as a technical expert to improve business outcomes. 
  • Role requires deep knowledge of competitive landscape and ability to effectively convey the CSIM value proposition and the ability to effectively present against other offers. 
  • Must demonstrate a high degree of initiative and a strong desire to reach out to clients proactively to deepen client relationships.

What you have:

  • Expertise in various wealth management topics including investments, Modern Portfolio Theory Portfolio Construction, Investment risk and performance measurement.
  • Ability to effectively engage advisors by developing an understanding of different personality types, client needs, active listening, profiling questions, resolving conflicts, educating others and counseling advisors.
  • Expert ability to communicate with and educate financial professionals and ultimately influence advisor action with strong verbal and written presentation skills.
  • Strong territory and pipeline management skills, organizational skills, and attention to detail leading to effective time management.
  • Effectively articulates personal strengths, the firm’s professional strengths, and merits of CSIM investment products in support of maintaining and growing new and existing relationships.
  • Technologically savvy, proficient with computer hardware, software and ability to adapt to new programs and changes quickly.
  • Must be highly proficient in the use of all applicable CRM and Investment Performance measurement tools.
  • CFP® or CIMA designation preferred in addition to 5-7 years’ experience in investment and portfolio management consultation.
  • Bachelor’s degree required.
  • FINRA Series 7 & 63 required.

To learn more about the culture at Schwab, click here to meet our people.

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: 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/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.


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, Investment Management - 6+ yrs
Position Located In: CO - Lone Tree
Education: BA/BS
Job Type: Full Time

Category:Investment Management & Research
Activation Date: Thursday, February 8, 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.