Charles Schwab Supervision & Controls, Policy Control Manager in Orlando, Florida

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 Opportunity:

Supervision & Controls 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:

As a Policy Control Manager (PCM), you will lead a team of centralized supervisors with a focus on supporting Schwab Private Client Investment Advisor (SPCIA), a non-discretionary advisory service sponsored by Charles Schwab & Co., Inc. (CS&Co) This position will drive developments to the supervisory support we provide to the SPCIA organization. The PCM is also responsible for building the supervisory processes and tools required to identify, mitigate and manage supervisory issues in the business lines for which they have responsibility; therefore, the candidate will require equally impressive technical supervisory knowledge, analysis and reporting skills to be successful in the role. This is a complex role that requires a candidate with considerable industry and supervisory knowledge, excellent problem solving skills and who can handle multiple projects simultaneously. To be effective in this role, the PCM must be able to work with all levels within the Schwab organization to identify issues and work with our business partners to implement solutions that increase supervisory controls and streamline processes.

Responsibilities include:

  • Provide leadership within and across teams/business as well as motivate and lead others

  • Managing and participating in cross enterprise projects

  • Establishing productive relationships with internal business partners

  • Interviewing business partners to gather data and to create new and/or update existing procedures

  • Accurately documenting changes to procedural documents and mitigating impacts surrounding procedural change and implementation

  • Perform risk assessments and facilitate discussions to implement procedural controls and supervisory processes.

  • Develop process improvements and efficiencies within Supervision and Controls

  • Assisting with any other assigned duties

What you have:

  • Experience writing policies, procedures, training materials and other business procedure related documents

  • Outstanding written and verbal communication skills, time management and organizational skills

  • Excellent relationship management skills (negotiating, collaborating, influencing)

  • Interest in creating change through process improvements, training and streamlining functions

  • Intermediate knowledge of Microsoft Word, Excel, Outlook, Access, and PowerPoint

  • Ability to be a self-starter and work independently

  • Ability to adapt to changing business conditions

  • Ability to manage multiple projects in a fast paced, team environment

  • Demonstrated ability to prioritize business needs

  • Bachelor’s degree required

  • Active and valid Series 7 is required

  • Active and valid Series 9/10 or 24 is required

  • Active and valid Series 65/66 referred (may be offered as a 90 day Condition of Employment)

  • Life and Health Insurance 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: FL - Orlando, IN - Indianapolis