Charles Schwab Sr. Manager, Risk Analysis in Westlake, Texas
Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616
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 at http://www.aboutschwab.com/about/leadership/charles_schwab 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 Advisor Services supports risk mitigation and management, operational risk, supervision, due diligence, and project and policy execution. This is an individual contributor position.
What you’ll do:
Perform daily comprehensive reviews and monitoring of operational items including pricing, billing, margin, account activity, etc.
Participate in enhanced review and monitoring as requested
Conduct case investigations when warranted by researching, collecting and documenting all necessary evidence and present findings to management and peers
As part of the investigative process, identify risk and control gaps and propose updates to guidelines and procedures as necessary
Review the execution of all risk framework components from a continuous improvement standpoint
Manage and/or assist with special projects as needed
Manage the onboarding of new reviews to the team, creating training materials, procedures, etc.
Perform due diligence on Family Office firms when they are onboarding to Schwab or requesting enhanced authorities
This could include client contact, working with outside auditors, limited travel, gathering and reviewing required documentation
What you have:
Grade level 57 manager:
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
3 - 5 years of financial services industry experience in the compliance, risk or supervision field (brokerage preferred)
Series 7, 9/10 FINRA licenses
Strong interpersonal skills/ability to develop relationships with peers
Strong organizational skills and great attention to detail in a rapidly changing environment
Grade Level 58 Senior Manager
6+ years of financial services industry experience in the compliance, risk or supervision field (brokerage preferred)
Experience working with Registered Investment Advisors and Family Office firms
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 at http://www.aboutschwab.com/careers/lifeatschwab/" .
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.
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: FINRA Series 10, FINRA Series 7, FINRA Series 9
Relevant Work Experience: Financial Services-6+ yrs, Financial Services-2-5 yrs
Position Located In: TX - Westlake
Job Type: Full Time
Activation Date: Friday, October 12, 2018
Expiration Date: Saturday, November 3, 2018