Charles Schwab Advisor Enrollment - Senior Team Manager in Lone Tree, Colorado


Lone Tree - CO, DENR2, 9800 Schwab Way, 80124

Paul Guevara


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 Advisor Enrollment Senior Team Manager (STM) will focus on the review and oversight of due diligence reviews for RIAs and investment advisors that custody business with Schwab. The STM will lead a team of individuals that are responsible for the due diligence reviews include reviewing Schwab company forms/agreements and disciplinary and financial history, opening and maintenance of master and sub-accounts, partnering with various business units to research and resolve escalated cases, and conducting analysis to provide decision support for the AS Advisor Enrollment team while balancing risk and firm reputation.

What you’ll do:

  • Assist in the growth of our business by supporting internal and external customers

  • Manage a team of associates to ensure their evaluations are managed properly and risk is appropriately identified and mitigated

  • Develop training plans to ensure the team has sufficient knowledge to effectively perform their responsibilities and to grow their knowledge from a career growth perspective

  • Develop and monitor procedures and controls to ensure processes have the appropriate level of oversight

  • Work with Legal and Compliance to balance risk with process efficiency and client experience

  • Interact regularly with the team’s internal partners (i.e.Sales and Service) to address issues and manage escalations

  • Demonstrate comprehensive subject knowledge in all elements Advisor Enrollments responsibilities

  • Identify areas of opportunity to optimize the processing model

  • Seek information pertaining to regulations that could impact the department, partner with Legal and Compliance to identify the impact and develop solutions

  • Support the team’s processes when needed to ensure SLAs are met and complex tasks are completed accurately

  • Communicate identified risks to the business partners and leadership when appropriate, along with recommended actions

  • Participate in special projects and performs other duties as assigned

  • Exemplify the vision and values of Schwab

What you have:

  • Bachelor’s degree or equivalent experience

  • 5+ years of financial services industry experience (brokerage preferred)

  • 5+ years of experience in leading teams

  • 5+ years of experience working in a fraud, audit, compliance or risk environment in the financial services industry is a plus

  • Experience in reviewing advisor disciplinary history, conducting additional follow-up, excellent analytical abilities with emphasis on assessing risk, and presenting and making balanced decisions based on information gathered

  • Understanding of current and emerging issues in risk management and the regulatory environment

  • Ability to prioritize, multi-task, execute, and handle complex regulatory issues

  • Thorough understanding and knowledge of the policies and procedures governing various departments within Advisor Services (AS), Advisor Custody & Trading (ACT)

  • Internal and external client focus; ability to effectively and quickly build relationships and establish trust, respect, competence and confidence

  • Strong communication and research skills

  • Strong attention to detail and documentation skills

  • Ability to execute challenging conversations with internal partners and external clients

  • 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

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

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

  • FINRA Series 7 and 9/10 strongly preferred (or ability to obtain within 90 days 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" .

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.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: FINRA Series 24, FINRA Series 10, FINRA Series 7, FINRA Series 9

Relevant Work Experience: Financial Services-6+ yrs, Legal-6+ yrs, Regulatory, Risk Analysis, Brokerage Operations-6+ yrs, Compliance

Position Located In: CO - Lone Tree

Education: BA/BS

Job Type: Full Time


Activation Date: Thursday, September 21, 2017

Expiration Date: Saturday, October 21, 2017

Apply Here