Lone Tree - CO, DENR2, 9800 Schwab Way, 80124
Erika Jessica Pullem
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 Risk and Supervision Management department within Client Strategic Solutions supports Advisor Services in risk mitigation and management, operational risk, supervision, due diligence, and project and policy execution. Our team works with leaders across Advisor Services to manage risk, improve controls and partner with the AS departments to identify solutions for risk issues.
What you’ll do:
- Act as a liaison to the 2nd and 3rd line of defense testing and audit groups
- Develop and oversee a 1st line of defense testing program
- Coordinate SOC 1 and 2 reports for AS, and act as a liaison for Sales and Service when investment advisors have questions about the reports
- Assist business units with supervisory needs including Plans of Supervision and Evidence of Supervision
- Review the execution of all risk framework components from a continuous improvement standpoint
- Partner with Business Unit management to determine more effective and efficient ways to perform supervision
- Evaluate all Advisor Services risk mitigation framework components to understand, measure, and optimize controls, with a focus on streamlining and automating processes
- Continuously coach and develop employees for ongoing growth and development
What you have:
- Excellent written and verbal communication skills
- Ability to work in a fast paced environment, meet challenging deadlines and maintain high quality standards
- Self-motivated and able to work independently leading or participating in virtual teams, drawing projects/initiatives to completion.
- Demonstrated success in prioritizing and managing multiple competing requests
- Bachelor’s degree required
- Series 7, 9/10 or 24 licensing preferred
- Brokerage experience or comparable experience preferred
- 5+ years experience working in testing, audit, compliance or risk area
- 3+ years people managing experience
- Strong interpersonal skills/ability to develop relationships with peers
- Strong organizational skills and great attention to detail in a rapidly changing environment
- Self-motivated, able to bring projects to conclusion within established timeframes
You demonstrate these behaviors:
- Thoroughness: Develops and uses systems to organize and keep track of information or work progress.
- Written Communication: Uses an appropriate business writing style.
- Analytical thinking: Weighs the costs, benefits, risks, and chances for success, in making a decision.
- Strategic Thinking: Communicates a clear vision that energizes others to accomplish what the organization needs for success in the long term; consistently restates and reinforces that vision and direction.
- Results Oriented: Has a strong sense of urgency about solving problems and getting work done.
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. 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 10, FINRA Series 7, FINRA Series 9
|Relevant Work Experience:
||Legal-less than 2 yrs, Accounting and Finance-2-5 yrs, Internal Audit, Legal-2-5 yrs, Regulatory, Risk Analysis, Compliance
|Position Located In:
||CO - Lone Tree
Activation Date: Wednesday, March 14, 2018
Expiration Date: Saturday, March 31, 2018