Sr. Specialist, Alliance in Advisor Services

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Job ID:
Job Category:
Brokerage Operations & Trading
Relevant Work Experience:
Brokerage Operations-2-5 yrs
Current Licenses / Certifications:
FINRA Series 63, FINRA Series 7
Position Located In:
AZ - Phoenix
Job Type:
Full Time

Phoenix - AZ, PHX8040, 8040 South 48th Street, 85044
Monica Paige Larson

Our Opportunity:

Charles Schwab Advisor Custody & Trading (ACT) is the industry leader in providing custodial, trading, technology and practice management to independent advisory firms. In partnership with ACT, Schwab Alliance provides premium services for clients of independent financial advisors. The services provide practical financial tools and resources and a dedicated service team to complement the advisor-client relationship. 


Alliance’s vision is to act as a liaison for the Financial Advisor, enhancing their client product and service offering by leveraging the scale of Schwab. Brokerage Service Specialists carry out that vision by working in small, highly collaborative teams that consistently strive to provide a positive experience in every client interaction.

What you’ll do:

As a Brokerage Service Specialist you will be the primary point of contact for the clients of independent advisors who custody assets with Schwab and provide “best in class” service. It’s this level of service that differentiates us from our competitors and serves as a sustainable competitive advantage. This is a phone-based position.


  • Proactively consult and educate clients of Independent Investment Advisors
  • Research and respond to client issues related to online enrollment, forms, trading, tax reporting, transfers, and various other areas of product knowledge and support
  • Collaborate with internal partners in delivery of timely and accurate information in response to inquiries and/or service issues


What you have:


  • Successful completion of our Client Focus Assessment which measures potential talent and role fit
  • Active and valid FINRA Series 7 & 63/66 licenses.  If you do not currently have a Series 7 & 63/66 licenses, you will need to successfully pass and obtain Series 7 and 63/66 licenses under a condition of employment. 
  • Strong interpersonal, verbal, and written communication skills
  • Positive attitude, team orientation, enthusiasm, professionalism and strong work ethic with high level of integrity and ethics
  • The ability to multi-task, actively listen, assess client needs, and research information
  • Intermediate to Advanced computer skills, with the ability to utilize at least 7  different applications at one time, including Windows, internet research, database systems, and email
  • Two or more years in brokerage/financial industry, with emphasis on customer service preferred
  • Bachelor’s degree in finance, economics, business administration, or related area, OR equivalent relevant experience preferred


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: FINRA Series 63, FINRA Series 7
Relevant Work Experience: Brokerage Operations-2-5 yrs
Position Located In: AZ - Phoenix
Education: BA/BS
Job Type: Full Time

Category:Brokerage Operations & Trading
Activation Date: Friday, February 23, 2018
Expiration Date: Tuesday, March 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.