Charles Schwab Senior Specialist - Supervision & Controls in Indianapolis, Indiana


Indianapolis - IN, INDYC, 8332 Woodfield Crossing Blvd, 46240-2482

Michelle Antene


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. Our Culture: Through Clients’ Eyes:

Our Opportunity:

Supervision & Controls (S&C) is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis and supervisory risk assessments, to Schwab’s Investor Services (retail) group. Supervision and Controls vision is to be a trusted independent partner of all Schwab stakeholders 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.

What you’ll do:

The Business Electronic Surveillance team is responsible for performing critical roles designed to enhance the supervisory reviews for e-mail, social media and text interactions leveraged by our Investor Services group. The Senior Specialist is a leadership position and will network with senior personnel internally to resolve issues, gain needed information and influence outcomes.

As a Senior Specialist and Team Lead, responsibilities include:

  • Partner with team members to support and review electronic correspondence across email, text and social media activities.

  • Work collaboratively with S&C Centralized Supervision Managers to effectively and efficiently address issues that arise in the review of electronic correspondence.

  • Apply specialized knowledge within area of expertise and focus on continually developing your skill base (market and product knowledge).

  • Resolve a wide range of issues by analyzing the situation, applying judgment and technical know-how.

  • Leverage relationship management core skills to address time sensitive issues.

  • Participate in cross-team initiatives and provide updates as part of team meetings (where appropriate).

  • Assess and resolve escalated issues in a timely manner.

What you have:

We place a premium on high performance, quality service and the ability to execute the Schwab strategy. Essential skills include:

  • Active FINRA Series 7 and 66 required.

  • Active FINRA Series 8 (or 9/10) or successfully pass/obtain the Series 9/10 license within 120 days of employment (Condition of Employment).

  • Other licenses will be considered.

  • Thorough knowledge of brokerage/financial services industry with a minimum of three years prior experience required.

  • At least two years sales practice experience preferred.

  • At least two years supervisory experience preferred.

  • Demonstrated passion for identifying and solving problems.

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

  • Excellent verbal and written communication skills to influence and build consensus as well as proven presentation skills.

  • Demonstrated skill in leadership, employee motivation, and coaching.

  • Proven experience working collaboratively, improving productivity, and implementing ideas.

In addition, ideal candidates will have:

  • Bachelor’s degree in finance, economics, business administration, or related area.

  • Prior experience with staffing and talent management.

  • Additional management or leadership training.

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 .

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 66, FINRA Series 8, FINRA Series 10, FINRA Series 7, FINRA Series 9

Relevant Work Experience: Regulatory, Financial Services-2-5 yrs

Position Located In: IN - Indianapolis

Education: BA/BS

Job Type: Full Time


Activation Date: Friday, August 11, 2017

Expiration Date: Friday, September 1, 2017

Apply Here