Charles Schwab Advisor Enrollment - Consultant in Lone Tree, Colorado


Lone Tree - CO, DENR2, 9800 Schwab Way, 80124

Paul Guevara


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 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 Advisor Enrollment Consultant will focus on providing guidance to the business and our clients on opportunities to establish, maintain and grow the client’s business on the Schwab Platform. This guidance will be provided from a risk and regulatory perspective. The Consultant will also build templates and training programs to streamline core, complex processes and educate the business and clients. In addition, the Consultant will conduct due diligence reviews include reviewing Schwab company forms/agreements and disciplinary and financial history, opening and maintenance of master and sub-accounts, partnering with various business units to research and resolve escalated cases, and conducting analysis to provide decision support for the AS Advisor Enrollment team while balancing risk and firm reputation.

What you’ll do:

  • Assist in the growth of our business by supporting internal and external customers

  • Regularly participate in consultative calls with Sales and our clients to support complex processes like mergers and the initial onboarding

  • Build forms, templates, checklists and guides to streamline targeted business processes

  • Develop formal educational content to support a variety of business units, including Service and Sales

  • Work with Legal and Compliance to balance risk with process efficiency and client experience

  • Conduct business with respect for sensitivity to risk matters and ability to act in a diplomatic way and build strong partnerships with internal business units

  • Base business decisions on a sound analysis of risk

  • Understand risk and be able to develop proper mitigation when appropriate

  • Encourage appropriate escalation and resolution of risk issues

  • Acts in the best interest of customers, company and shareholders.

  • Partner with internal departments such as Sales to evaluate client suitability, and provide guidance to Sales partners on complex situations

  • Participate in special projects and performs other duties as assigned

  • Exemplify the vision and values of Schwab

What you have:

  • Bachelor’s degree or equivalent experience

  • 5+ years of financial services industry experience (brokerage preferred)

  • 3+ Professional experience working in a fraud, audit, compliance or risk environment in the financial services industry is a plus

  • Internal and external client focus; ability to effectively and quickly build relationships and establish trust, respect, competence and confidence

  • Thorough understanding and knowledge of the policies and procedures governing various departments within Advisor Services (AS), Advisor Custody & Trading (ACT)

  • Ability to communicate at all levels with clarity and precision both written and verbally

  • Strong research and analytical skills

  • Focused and versatile team player that is comfortable under pressure

  • Excellent problem-solving and critical-thinking skills

  • Strong attention to detail

  • Ability to execute challenging conversations with internal partners and external clients

  • Strong organizational skills with ability to work on multiple assignments and complete them within established deadlines

  • Ability to prioritize effectively in a fast paced environment and function in a professional manner under pressure

  • Ability to identify and solve complex issues in a team environment working with various levels of management and business partners

  • Positive attitude, enthusiasm, professionalism and strong work ethic with high level of integrity and ethics

  • FINRA Series 7 strongly preferred (or ability to obtain within 90 days of employment)

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" .

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.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: FINRA Series 7

Relevant Work Experience: Brokerage Operations-2-5 yrs, Brokerage Operations-6+ yrs, Financial Services-6+ yrs, Legal-6+ yrs, Accounting and Finance-2-5 yrs, Internal Audit, Legal-2-5 yrs, Accounting and Finance-6+ yrs, Financial Services-2-5 yrs, Regulatory, Risk Analysis, Compliance

Position Located In: CO - Lone Tree

Education: BA/BS

Job Type: Full Time


Activation Date: Thursday, September 21, 2017

Expiration Date: Saturday, October 21, 2017

Apply Here