Charles Schwab Specialist - Trade Settlements in Lone Tree, Colorado


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

Lance Alan Britton


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:

Advisor Services is the leading provider of custodial, trading, technology and practice management to registered independent advisory firms. We provide access to sophisticated wealth-management services that help advisors attract and retain affluent clients, as well as profitably grow, compete and succeed in their business efforts.

Our Relationship Specialists provide dedicated service to these advisory firms. The focus is on building relationships and a more personalized approach to service. They build strong rapport with Investment Advisors, know them on a first name basis and provide that one on one service that Schwab is known for.

What you’ll do:

The Trade Away Service (TAS) representative will provide settlement services to Investment Advisors who maintain multiple trading relationships for client accounts held within our firm.

  • Representatives in this position will support trade settlement functions with Investment Advisors who execute trades away from Schwab.

  • Ensure compliance of SEC /FINRA regulations

  • Ensure proper documentation for client accounts and clearing broker/dealer firms.

  • Key working relationships include Settlement Operations, Advisor Service Teams, Trading Desks and Advisor Services Sales.

What you have:

  • The ideal candidate for this position should have 2 to 3 years financial services industry experience.

  • Strong customer contact skills, along with excellent interpersonal, verbal, and written communication skills

  • MS Excel and MS Word skills a plus

  • Strong organizational skills and ability to multi-task are critical.

  • Must work well in a collaborative team environment, including cross location.

  • A working knowledge of Settlement Operations, with street side experience is a plus, including knowledge of DTC, foreign, government, physical delivery, and restricted securities.

  • Knowledge of DVP trading: Prime Broker, Client to Client, Step Out, CMTA and Broker to Broker is also helpful

  • Bachelor's degree or equivalent experience is preferred

  • Series 7 & 63 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 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 63, FINRA Series 7

Relevant Work Experience: Financial Services-6+ yrs, Customer Service-6+ yrs, Customer Service-2-5 yrs, Customer Service-less than 2 yrs, Brokerage Operations-2-5 yrs, Brokerage Operations-less than 2yrs, Financial Services-less than 2 yrs, Financial Services-2-5 yrs, Brokerage Operations-6+ yrs

Position Located In: CO - Lone Tree

Education: BA/BS

Job Type: Full Time

Category:Brokerage Operations & Trading

Activation Date: Tuesday, July 11, 2017

Expiration Date: Monday, August 7, 2017

Apply Here