Charles Schwab Sr. Team Manager, Risk Analysis in Phoenix, Arizona


Phoenix - AZ, PHX8040, 8040 South 48th Street, 85044

Larcelia Shells


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:

Advisor Services is the leading provider of custodial, trading, technology and practice management to registered independent advisory firms. We provide access to sophisticated wealth-management services that help advisors attract and retain affluent clients, as well as profitably grow, compete and succeed in their business efforts.

Client Strategic Solutions (CSS) is a function within the Advisor Services Business that seeks to create solutions for our clients’ most complex needs while successfully managing various types of risk for Schwab and our clients. They provide the voice of the Registered Investment Advisor client into Schwab’s centralized functions as well as design the distribution and roll-out strategies for advisor enrollment, mergers and acquisitions and client-facing product or project launches. This individual will lead a small team that is engaged in projects involving advisor enrollment, mergers and acquisitions and projects involving complex account types, including international.

What you’ll do:

Team Management:

Responsibility for managing the day-to-day responsibilities of a team including proactive performance management, setting clear expectations and consistently providing information, resources, feedback, coaching and recognition that helps employees improve their performance, and creating a work environment that promotes employee engagement.

Project Management:

  • Serve as advocate for Advisor Services and creating the optimal client experience for regulatory and other changes that impact international, advisor enrollment, and complex account offerings. Includes ensuring Advisor Services employees and Advisors have proper information regarding requirements and procedures and meet regulatory, legal, and compliance guidelines.

  • Actively participate in and/or autonomously lead projects to completion in support of the team and the business, coordinate communication between Service/Sales/support teams and present information to business leadership and have the opportunity to gain exposure through work on critical / high visibility initiatives.

  • Partner and collaborate with others as work typically requires a coordinated effort with team members and cross-functional business partners such as AML, International, Legal, Sales, Service, Compliance and Retail.

  • Think creatively, solve problems, and develop recommendations that are data driven/fact-based and deliver results in a matrixed organization and have the flexibility and maturity to handle ambiguous situations.

  • Develop, write, and maintain procedures, often partnering with various stakeholders across the firm.

  • Individuals with a bias for action and the ability to overcome obstacles to successfully execute on multiple projects simultaneously tend to perform well in the role.

What you have:

  • Bachelor’s degree and minimum of 7 years of experience in financial services

  • 5 years Advisors Services or working with registered investment advisors preferred

  • Prior people management experience required with demonstrated ability to develop leadership and management skills in coaching and developing people at all performance levels

  • Excellent verbal and written communication skills to influence, build consensus and integrate complex information

  • Good understanding of complex and international accounts, diverse needs of RIAs, and project management

  • Exceptional interpersonal and problem resolution skills as well as effective collaboration across departments to resolve issues, and the ability to build a consensus and persuade others in a matrixed organization

  • Ability to manage a project from inception to completion

  • Exceptional attention to detail and analytical skills

  • Exceptional business judgment including the ability to identify business risks and articulate those risks to business partners and all levels of management

  • Excellent knowledge with the suite of Microsoft Office products

  • Excellent time and resource management skills

  • Ability to work in an unpredictable and dynamic environment.

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

  • Licenses: Series 9/10 preferred

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: FINRA Series 10, FINRA Series 9

Relevant Work Experience: Financial Services-6+ yrs

Position Located In: AZ - Phoenix

Education: BA/BS

Job Type: Full Time

Category:Risk Management

Activation Date: Friday, November 9, 2018

Expiration Date: Saturday, December 15, 2018

Apply Here