Charles Schwab Sr Specialist Control Support Services Lone Tree, CO in Lone Tree, Colorado
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.
Control Support Services provides guidance, support, and coordination of control and supervisory functions for Operational Services. We are responsible for supporting the Designated Supervisory Principals in meeting their requirements for Risk and Control Self-Assessments (RCSA), Plans of Supervision, and CEO Certifications. In addition, we provide oversight, sampling and the retention of area procedures for the supported business units
What you’ll do:
This is a complex role that requires a candidate with considerable industry and supervisory knowledge and the ability to understand inherent risks associated with Operations Services. The work has both analytical and administrative components, and provides the opportunity to form strong partnerships with supported business units while aiding them in meeting their control and supervisory requirements.
To be effective in this role, the representative must be able to collaborate with all levels within the Schwab organization. You will work with a team of representatives that also support several aspects of the Operational Risk Management Framework.
Responsibilities will include:
Coordination with the Designated Supervisory Principle and management staff to ensure they meet their supervisory obligations.
Fulfillment of sampling and oversight of functions on behalf of the organization.
Opportunities to learn and grow, to identify areas for improvement, and to drive changes to the control environment.
The representative will perform his/her duties with limited supervision and have liberal discretion in decision-making regarding escalations and issues.
Partner with other members of the team and supported business units to continue to define the scope of responsibility of the team
Maintain strong relationships to Compliance and Risk organizations and partner to effectively deliver on broad control requirements
What you have:
Minimum of 5+ years of financial services experience in brokerage / bank operations, preferably in a risk, control, or oversight environment
Attention to detail and documentation
Ability to meet deadlines with minimal oversight of day to day responsibilities
Ability to document and present business issues and proposed mitigations to all levels of management
Excellent teamwork, interpersonal and communication skills with demonstrated ability to partner with and influence geographically dispersed teams
Demonstrated analytical ability to interpret complex scenarios and identify innovative solutions for issues across business units
Familiarity with brokerage operations and regulatory obligations preferred
Series 7 required
9/10 or 24 licenses preferred
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