Senior Specialist, Supervision and Controls
The Advised Investing team within Supervision & Controls is an independent group responsible for providing delegated review of control and risk mitigation functions to the Schwab Private Client Investment Advisory group. The vision of Supervision & Controls is to be a trusted independent colleague of all Schwab partners 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. This is an Individual Contributor role.
Workplace Flexibility Program: We're proud to support our employees in a working approach that allows you to bring your best self to work – whether that’s in the office or remote.
- Most Schwabbies have the opportunity to voluntarily work in the office or at home based on their preference*
- When the firm is ready to fully return to the office, employees will have the flexibility of a hybrid work environment, spending some time working remote and some time in the office.
- Employees and managers can discuss and decide what works best for them, with additional flexibility available based on their role, business needs, and individual circumstances.
*Subject to change as Schwab is continually evaluating the current environment in order to best care for the safety and well-being of our employees.
What you are good at
The S&C Specialist is responsible for performing critical roles designed to enhance the control functions performed by the team. The Specialist will serve as a support to the Sr. Team Manager and the Advised and Managed Investing Teams with special project work, research, and data analysis related to supervision routines. These reviews will be conducted in close partnership with other members of our Supervision team.
The successful candidate will need to be a self-starter, be able to work independently and possess a strong desire to learn and grow. Additionally, the candidate will need the ability to identify emerging trends, and conduct data and trending analysis. This person should have strong analytical skills and possess the ability to learn quickly and a desire to seize opportunities to increase their overall business and financial services knowledge. The candidate must possess the ability to develop strong working relationships with peers and internal business partners. The candidate will operate in a fast-paced environment with the ability to make decisions based on sound judgment with information at hand.
What you have
- Strong written and verbal communication skills, including the ability to escalate effectively
- Candidate should have a working knowledge of standard industry rules and regulations.
- Candidate must possess the ability to influence others through the development of strong working relationships.
- 1 - 2 years’ experience in financial services preferred
- Series 7 preferred
- Bachelor's degree preferred
- Strong Microsoft Office product skills
- Series 9/10 preferred or willingness to obtain
- Series 66 (63/65) a plus
Why work for us?
Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.
Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further.
Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here to see the policy.
Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at firstname.lastname@example.org or call 800-275-1281.
TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.