Managed and Advised Accounts Sr. Specialist

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Job ID:
0608-29389
Job Category:
Brokerage Operations & Trading
Relevant Work Experience:
Financial Services-6+ yrs, Brokerage Operations-2-5 yrs, Financial Services-2-5 yrs, Brokerage Operations-6+ yrs
Current Licenses / Certifications:
FINRA Series 63, FINRA Series 10, FINRA Series 7, FINRA Series 9
Position Located In:
FL - Orlando
Education:
BA/BS
Job Type:
Full Time

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:

A Senior Operations Specialist in Managed and Advised Account Operations performs a variety of functions and services for clients of Advisor Services, Investor Services and Schwab Private Client using Schwab’s Managed Account and Advised products. An integral part of this role includes multiple functions of complex and organizational account processing for new or existing entity accounts as defined by our Anti-Money Laundering (AMP) policy. The processing aspect encompasses tasks such as, organizational and trust accounts, entity agent/internal control persons, durable power of attorney, and enrollment into the Schwab Managed Account Sponsored platforms for Advisor and Investor Services. In addition to the operational aspects, the complex account team serves as a point of contact and subject matter expert for entity structures, problem escalations, and communication with Financial Consultant, Portfolio Consultant, and/or clients related to complex account types. This requires exceptional partnership and relationship building with our internal business partners in both Advisor Services and Investor Services.

What you’ll do:

In this role, you will be asked to switch gears throughout the day to assist with meeting critical cut-off times or high volume processing spikes.  Attention to detail and understanding risk is a key aspect of this role.  Equally important is being comfortable with direct client interaction as you may receive and make outbound client service calls as well as network with internal business partners to research and resolve client operational issues.    

What you have:

The ideal candidate will have experience with complex organizational structures coupled with exceptional customer service skills and, strong analytical skills with the ability to assess and communicate risk.  Cross-functional operational knowledge and experience in account opening, processing, or managed accounts is strongly desirable.  A working knowledge of the Schwab Private Client and Managed Account business at Schwab and Schwab systems are a plus. Series 7 & 63 and 9/10 are preferred.

Specific Skills required:

  • Self-starter with the ability to manage multiple functions simultaneously
  • Strong knowledge of trust instruments and entity structures
  • Strong attention to detail
  • Strong problem resolution skills with ability to work effectively across departments to resolve issues

This position can be filled at a Specialist or Sr. Specialist level depending on experience and licensures

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.


Position Located In:FL - Orlando
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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.