Charles Schwab Senior Specialist, Risk Analyst in Phoenix, Arizona

Description:

Phoenix - AZ, PHX8040, 8040 South 48th Street, 85044

Toni L Pohle

20180530-3607

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 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 (AS) 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. The Risk & Supervision Management (RSM) Supervision Group’s purpose is to provide AS support with their supervision requirement via identification, assessment, monitoring, and reporting. RSM is committed to supporting all departments within AS.

What you’ll do:

RSM Analysts assist the business with their supervision requirement by performing daily comprehensive reviews of operational items, reports, and electronic communications. They also participate in enhanced review, monitoring, and testing of data as requested. Analysts are committed to supporting all departments within AS and act as the point of contact for several departments/teams across the organization to provide support, knowledge, and expertise. RSM maintains comprehensive and current knowledge of Evidence of Supervision (EOS) guidelines and procedures and participates in projects that support AS.

What you have:

  • Bachelor’s degree or equivalent experience.

  • At least 3-5 years of financial services industry experience (brokerage preferred).

  • The ideal candidate will possess a thorough understanding and knowledge of the policies and procedures governing various departments within AS Advisor Custody & Trading (ACT).

  • Strong analytical, research, and communication skills.

  • Demonstrate proficiency in MS Office such as Excel and Access.

  • Strong attention to detail and documentation skills.

  • 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.

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

  • Ability to adapt to changing business needs.

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

  • Series 7, 9/10 and 63 registrations.

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/%22 .

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 63, FINRA Series 10, FINRA Series 7, FINRA Series 9

Relevant Work Experience: Financial Services-2-5 yrs

Position Located In: AZ - Phoenix, TX - Westlake

Education: BA/BS

Job Type: Full Time

Category:Risk Management

Activation Date: Monday, June 11, 2018

Expiration Date: Saturday, July 21, 2018

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