Lone Tree - CO, DENR1, 9800 Schwab Way, 80124
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.
Business Empowerment & Risk Solutions (BEaRS) is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis and supervisory risk assessments, to Schwab’s Investor Services (retail) group. Our vision is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. 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:
We are looking for an Individual Contributor to work within the Business Empowerment & Risk Solutions Department. This position will drive developments to the supervisory support we provide within the Advised Investing Centralized Enrollments team to the advice givers in the firm and have a critical responsibility to build, analyze, and enhance supervisory processes to ensure that advised offer recommendations are reviewed for best interest.
A successful candidate will be a thought leader in the BEaRS team and will require an outstanding ability to build and maintain productive working relationships with personnel across the organization, including colleagues within BEaRS up to and including senior leadership. The individual is also responsible for building the supervisory processes and tools required to identify, mitigate and manage supervisory issues in the regions for which they have responsibility; therefore the candidate will require equally impressive technical supervisory knowledge, analysis and reporting skills to be successful in the role. This is a complex role that requires a candidate with considerable industry and supervisory knowledge, excellent problem solving skills and who can handle multiple projects simultaneously.
What you have:
Candidates should have a very strong working knowledge of standard industry and regulatory policies and procedures. In addition, Candidates must possess the ability to influence others through the development of strong working relationships and the use of effective communication skills. The Candidate will operate in a fast paced environment and must have the ability to both make decisions based on sound business judgment with information at hand and also to be able
to quickly adapt to the circumstances presented and find optimal solutions in dynamic situations. The ideal Candidate will have proven supervision and oversight skills displaying a track record of operating at both strategic and tactical levels. This person would support the advised offers business by:
- Performing data and risk analysis and synthesizing that information for follow up and reporting
- Identifying, escalating and addressing issues and potential trends and outlier behaviors
- Providing advice and guidance on relevant firm policies and procedures.
- Strong problem solving and critical thinking skills
- Strong communication skills.
- The ability to work independently, with minimum guidance.
- The ability to work on multiple projects and prioritize based on regulatory risk and business needs.
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 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.
||English - spoken
|Current Licenses / Certifications:
||FINRA Series 66, FINRA Series 10, FINRA Series 7, FINRA Series 9
|Relevant Work Experience:
||Financial Services-6+ yrs, Regulatory, Compliance
|Position Located In:
||CO - Lone Tree, IN - Indianapolis, TX - Westlake
Activation Date: Tuesday, February 13, 2018
Expiration Date: Wednesday, March 14, 2018