Charles Schwab Centralized Supervision Manager - Planning & Portfolio Group in Orlando, Florida

Description:

Orlando - FL, ORL2, 1958 Summit Park Dr, 32810

Don Carlos Collins

20180509-3208

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.

Our Opportunity:

Business Empowerment & 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 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:

The Centralized Supervision Manager in the BEaRS Department will support the Planning & Portfolio Group Organization. Responsibilities include:

  • Daily supervision of Portfolio Consultant activities, inclusive of trading, advised offer enrollment approvals/reviews, communications with the public, operational and other approvals/reviews as needed.

  • The Centralized Supervisor must possess the skills necessary to work with business partners across the firm; build effective working relationships with various levels of department employees from Portfolio Consultants to senior leadership.

  • Candidate should possess extensive knowledge of Schwab Retail business models, Schwab Investment Advisory products to include Fixed Income and Options.

  • Candidate should have a working knowledge of standard industry and regulatory rules and regulations.

  • The ideal Candidate will have proven supervision and oversight skills displaying a track record of operating at both strategic and tactical levels.

  • Candidate must possess the ability to influence others through the development of strong working relationships.

  • The candidate will operate in a fast paced environment and have the ability to make decisions based on sound business judgment, with information at hand.

What you have:

  • 5+ years’ supervision experience

  • Strong communication, influencing, and relationship skills, including experience working with all levels of management.

  • Strong knowledge and understanding of compliance and regulatory requirements applicable to the brokerage/investment advisory industry.

  • Time management, organization, and prioritization skills; ability to work under intensive deadlines

  • Bachelor’s degree

  • Active and valid Series 7, 63, 8 (9/10) required

  • Series 66 (63/65) required

  • Series 24 a plus

  • CFP (preferred)

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.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: FINRA Series 66, FINRA Series 10, FINRA Series 7, FINRA Series 9

Relevant Work Experience: Regulatory, Financial Services-2-5 yrs, Compliance

Position Located In: AZ - Phoenix, FL - Orlando, CO - Lone Tree, IN - Indianapolis, TX - Westlake

Education: BA/BS

Job Type: Full Time

Category:Compliance/Legal/Regulatory

Activation Date: Monday, June 4, 2018

Expiration Date: Sunday, July 1, 2018

Apply Here