Charles Schwab Policy Control Manager, Retail Sales Supervision in Phoenix, Arizona
Phoenix - AZ, PHXPEAK, 2423 E Lincoln Dr, 85016-1215
Don Carlos Collins
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.
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:
As a Policy Control Manager (PCM), you will lead a team of centralized supervisors with a focus on supporting Branch Network for the Investor Services (retail) group. The PCM is also responsible for building the supervisory processes and tools required to identify, mitigate and manage supervisory issues in the business lines for which they have responsibility; therefore, the candidate will require equally impressive technical supervisory knowledge, analysis and reporting skills to be successful in the role. This is a complex role that requires a candidate with considerable industry and supervisory knowledge and the ability to understand inherent risks associated with supporting investment advice activities, including annuities and fixed income products. To be effective in this role, the PCM must be able to work with all levels within the Schwab organization to identify issues and work with our business partners to implement solutions that increase supervisory controls and streamline processes.
Provide leadership within and across teams/business as well as motivate and lead others
Managing and participating in cross enterprise projects
Establishing productive relationships with internal business partners
Interviewing business partners to gather data and to create new and/or update existing procedures
Accurately documenting changes to procedural documents and mitigating impacts surrounding procedural change and implementation
Perform risk assessments and facilitate discussions to implement procedural controls and supervisory processes.
Develop process improvements and efficiencies within Supervision and Controls
Assisting with any other assigned duties
What you have:
5+ years supervisory, risk, control, or compliance experience
Experience supporting International and/or Global businesses
Outstanding written and verbal communication skills, time management and organizational skills
Experience writing policies, procedures, training materials or other business procedure related documents
Excellent relationship management skills (negotiating, collaborating, influencing)
Interest in creating change through process improvements, training and streamlining functions
Intermediate knowledge of Microsoft Word, Excel, Outlook, Access, and PowerPoint
Ability to be a self-starter and work independently
Ability to adapt to changing business conditions
Ability to manage multiple projects in a fast paced, team environment
Demonstrated ability to prioritize business needs
Active and valid Series 7 is required
Active and valid Series 9/10 or 24 is required
Active and valid Series 63 referred (may be offered as a Condition of Employment)
State Life and Health Insurance License (may be offered as Condition 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 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 66, FINRA Series 10, FINRA Series 7, FINRA Series 9
Relevant Work Experience: Financial Services-6+ yrs, Regulatory, Compliance
Position Located In: AZ - Phoenix, CO - Lone Tree, TX - Westlake, IN - Indianapolis
Job Type: Full Time
Activation Date: Monday, June 4, 2018
Expiration Date: Sunday, July 29, 2018