Charles Schwab Specialist/Senior Specialist Operations, Voluntary Corporate Actions in Phoenix, Arizona


Phoenix - AZ, PHXPEAK, 2423 E Lincoln Dr, 85016-1215

Tammie Raven


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 Orlando Corporate Actions team is responsible for the set up and processing of mandatory and voluntary reorganizations, partial calls, full calls, redemptions, bankruptcies, and class actions for Brokerage Operations. Corporate Actions is dedicated to leading a culture that delivers accurate and timely processing that creates a premier client experience, while providing a controlled and disciplined environment allowing our employees to feel valued and engaged.

What you’ll do:

The Voluntary Corporate Actions Specialist and Senior Specialists are responsible timely and accurate processing of corporate actions on securities held by our clients. In this role you will be responsible for reviewing external and internal sources of complex corporate action material in order to accurately provide client communications regarding these events.

Specialist Grade Level 55 and Senior Specialist Grade Level 56

  • Obtain accurate, comprehensive and timely corporate action related information. (tender offers, elections, rights offerings, proxy, consents)

  • Interpret announcement information on various corporate actions for deadline sensitive term

  • Recognize potential risk issues associated with the stock record, balance and reconcile stock record to payment allocation from Custodians, Depositories and transfer agents

  • Discrepancies and exceptions are to be escalated and resolved promptly

  • Identify and communicate issues effectively and timely to peers and management team

Senior Specialists Grade Level 56

  • Given delegation of authority, approve client communications

  • Participate in the Enlighten initiative supporting the Manager

  • Managed identified and delegated reporting

What you have:

Specialist Grade Level 55 and Senior Specialist Grade Level 56

  • At least three (3) years of experience in the Financial Services Industry

  • Experience in controlled environment with supervisory procedures, regulatory requirements and audit requirements

  • Team orientation, motivation and goal oriented

  • Outstanding time management skills and ability to work in a high risk environment

  • Ability to multi-task in a fast paced environment while maintaining a professional manner

  • Awareness of the importance of follow through

  • Compassion to work cooperatively with others to produce innovative solutions

  • Excellent oral and written communication skills

  • Initiative to seek out and build relationships with others who can provide information, intelligence, career support, potential business as well as other forms of support

  • The ability to accurately anticipate the implications of events or decisions for various stakeholders in the organization and plan strategy accordingly

  • Insight to identify and propose solutions that benefit all parties involved in a situation

  • Ability to work well under pressure

  • Willingness to accept ownership for the leadership and effectiveness of the organization

  • The ability to look for ways to make a difference

  • Corporate Actions' experience preferred

  • FINRA Series 7 licenses preferred

Senior Specialist Grade Level 56

  • FINRA Series 7 license required

  • FINRA Series 9/10 license required

You demonstrate these behaviors:

  • Fostering Team Work: Seeks opportunities to work on teams as a means to develop experience and knowledge.

  • Providing Motivational Support: Takes the lead or supports setting new business directions, partnerships, policies or procedures,

  • Fostering Innovation: Develops better, faster, or less expensive ways to do things.

  • Forward thinking: Anticipates the implications and consequences of situations and takes appropriate action to be prepared for possible contingencies.

  • Interpersonal Effectiveness: Notices, interprets, and anticipates others’ concerns and feelings, and communicates this awareness empathetically to others.

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. 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: None

Relevant Work Experience: Brokerage Operations-2-5 yrs, Financial Services-2-5 yrs

Position Located In: AZ - Phoenix

Education: HS/GED

Job Type: Full Time

Category:Brokerage Operations & Trading

Activation Date: Thursday, May 3, 2018

Expiration Date: Friday, May 18, 2018

Apply Here