Senior & Vulnerable Investor (SVI) Manager

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Job ID:
0416-40174
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Financial Services-6+ yrs, Regulatory, Compliance
Current Licenses / Certifications:
FINRA Series 63, FINRA Series 10, FINRA Series 7, FINRA Series 9
Position Located In:
AZ - Phoenix, CO - Lone Tree, IN - Indianapolis, TX - Westlake
Education:
BA/BS
Job Type:
Full Time
Description:

Phoenix - AZ, PHXPEAK, 2423 E Lincoln Dr, 85016-1215
Don Carlos Collins
0416-40174

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:

Business Enablement and 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. BEaRS’s 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 SVI Manager within the Business Enablement and Risk Solutions Department.  This position will be responsible for reviewing referrals of possible senior and/or vulnerable client abuse, neglect, exploitation and/or diminished financial capacity related issues.  This individual will perform a variety of case-related activities including investigation, adherence of state reporting laws in relation to law enforcement and/or Adult Protective Services (APS) reporting and account restrictions. 

The SVI Manager will be responsible for making time-critical contact with Financial Consultants, Portfolio Consultants, Branch Managers, Branch staff, reps and supervisors to gather relevant information so that proper decisions can be made in the client’s best interest. The SVI Manager will be expected to analyze the client’s holdings, account records including activity and documented notes to determine any needed next steps.  The role will also be responsible for communicating with our clients, authorized parties, trusted contacts, applicable state securities commissioners, along with various agencies including Adult Protective Services (APS) and law enforcement. The candidate should have a general understanding of legal documentation including Powers of Attorney, trust documents, physician letters and court orders. 

A successful SVI Manager will be a thought leader within 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 and IS up to and including senior leadership.  The SVI Manager will be responsible for understanding all the various levels of risk including reputational, monetary, regulatory, privacy, arbitration, market and suitability risk and be able to articulate those risks to the respective business lines.  This is a complex role that requires a candidate with considerable industry and supervisory/compliance or fraud experience, excellent problem solving skills and who can handle multiple cases 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 oversight skills displaying a track record of operating at both strategic and tactical levels. Responsibilities include:

  • 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. 
  • Possess a high emotional maturity
  • The ability to work independently, with minimum guidance, in a high-volume environment. 
  • The ability to work on multiple projects and prioritize based on regulatory risk and business needs.
  • Active and valid Series 7 is required
  • Active and valid Series 9/10 or 24/53/4 is required (Series 24 is preferred)
  • Active and valid Series 63 or 66 is required

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 10, FINRA Series 7, FINRA Series 9
Relevant Work Experience: Financial Services-6+ yrs, Regulatory, Compliance
Position Located In: AZ - Phoenix, CO - Lone Tree, IN - Indianapolis, TX - Westlake
Education: BA/BS
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Monday, April 16, 2018
Expiration Date: Tuesday, May 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.