Sr. Specialist/Specialist, Operations - Margins

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Job ID:
0328-39758
Job Category:
Brokerage Operations & Trading
Relevant Work Experience:
Financial Services-6+ yrs, Trading-less than 2 yrs, Financial Services-less than 2 yrs, Financial Services-2-5 yrs
Current Licenses / Certifications:
FINRA Series 63, FINRA Series 7
Position Located In:
IL - Chicago, AZ - Phoenix, CO - Lone Tree
Education:
HS/GED
Job Type:
Full Time
Description:

Lone Tree - CO, DENR2, 9800 Schwab Way, 80124
James D Hapgood
0328-39758

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 Margin Services group protects the firm from risk exposure, oversees compliance with regulations outlined by both the firm and regulatory bodies, and accurately interprets regulations and communicates to customers firm policy with regard to regulatory requirements. Margin Services minimizes late payments and excessive regulatory extensions, and imposes trading restrictions on accounts for trade settlement violations. In addition, we oversee the disbursement of assets from client accounts, reviewing proposed disbursements for risk and potential fraud.  

What you’ll do: 

This position requires the ability to analyze credit, trade, cashiering reports, and mitigate risk. Take action on accounts that fall outside the acceptable activity as determined by Schwab and as outlined by our regulators. Representatives take inbound telephone calls from internal employees, external clients, and make outbound calls as appropriate. This individual will accurately explain technical rules and regulations to educate internal employees and external clients. This position may require team members to reconcile account balances, recalculate interest, provide oversight and process generic cash entries such as fee reversals and account accommodations. Representatives may be trained to review and approve cash and securities disbursements from client accounts such as wires and checks, and ensure client accounts are in good standing.  

What you have: 

  • Strong verbal and written communication skills
  • Excellent customer service skills
  • Effective organization and time management skills
  • Strong reconciliation skills and diligence in researching problem accounts
  • The job process, interpretations and daily tasks change frequently. Candidates must be flexible and comfortable with changing work duties
  • Interested individuals should have a basic working knowledge of margin rules and formulas
  • Series 7 and 63 licenses required 

This position can be filled at a Sr. Specialist or Specialist grade level. For a Sr. Specialist, you must have 3+ years of financial industry experience. You must also have trading experience. For a Specialist, you will have 1-2 years of financial industry experience

You demonstrate these behaviors:

  • Customer Orientation: Quickly and effectively solves customer problems.
  • Flexibility: Demonstrates openness to new organizational structures, procedures, and technology.
  • Initiative: Identifies what needs to be done and takes action before being asked or required to, in addition to seeking out others involved in a situation to learn their perspectives.
  • Results Oriented: Has a strong sense of urgency about solving problems and getting work done.
  • Adaptability: Can effectively handle several problems or tasks at once. 

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.


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, Trading-less than 2 yrs, Financial Services-less than 2 yrs, Financial Services-2-5 yrs
Position Located In: IL - Chicago, AZ - Phoenix, CO - Lone Tree
Education: HS/GED
Job Type: Full Time

Category:Brokerage Operations & Trading
Activation Date: Wednesday, March 28, 2018
Expiration Date: Saturday, May 26, 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.