Charles Schwab Estate Risk Analyst in Indianapolis, Indiana
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.
Estate Services is a specialized organization within the broader Schwab Operational Services Enterprise providing high-touch service to our clients and to the advisors that serve them. Estate Services fulfills our purpose of championing every client’s goals with passion and integrity. We inspire client loyalty by providing Estate guidance to our clients and advisors.
What you’ll do:
Operational Services frequently receives legal documents that require review and analysis. The Risk Analyst is responsible for reviewing documents and internal procedures related to decedent’s estates, divorces, durable powers of attorney, and matters relating to retirement accounts. The Risk Analyst communicates risks, concerns, and opinions in order to recommend appropriate actions to business partners.
Review legal documents for decedent’s estates, including letters of appointment, trusts, and court orders.
Interpret legal documents for representatives and the management team in order to mitigate processing risks.
Refine department procedures to control operational risk.
Communicate with internal departments and provide support and expertise regarding complicated issues related to decedent’s estates, trusts, court orders, and retirement accounts.
Maintain strong partnerships with Schwab’s Office of Corporate Counsel and client escalation departments.
Review new account documents for procedural acceptability.
Provide guidance for retail client escalations.
Ability to manage time effectively to provide efficient and timely responses.
Coordinate with Operational Services leadership teams to attend team meetings for training purposes.
Research and communicate any relevant legal and policy changes.
What you'll have:
Legal certification including paralegal certificate, higher legal education; JD preferred.
Bachelor’s degree or equivalent required.
Experience reviewing legal documents including letters of appointment, trusts, and court orders.
Communicates effectively orally and in writing.
Sound judgment - ability to identify and assess risk
Experience in the securities, brokerage, or financial services industry strongly preferred.
Series 7 to be obtained after hire date.
Maintain any licenses by completing continuing education requirements
You demonstrate these behaviors:
Results Orientation: Has a strong sense of urgency about solving problems and getting work done
Business Acumen: Engages in cross-functional dialogue and decision-making.
Analytical Thinking: Approaches a complex task or problem by breaking it down into its component parts and considering each part in detail.
Decisiveness: Is willing to make decisions in difficult or ambiguous situations, when time is critical.
Fostering Teamwork: Seeks opportunities to work on teams as a means to develop experience and knowledge.
What you’ll get:
Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
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.
Position Located In: CO - Lone Tree, IN - Indianapolis