Charles Schwab Advisor Enrollment, Sr. Control Manager in Phoenix, Arizona


Phoenix - AZ, PHX4750A, 4750 E Francisco, 85044-5359

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 Project Manager, Advisor Enrollment will support a team of individuals conducting due diligence reviews for RIAs and investment advisors that custody business with Schwab. 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. This role will support a variety of projects that impact the team. These include workflow related projects as well as technology related initiatives. This role will also be responsible for identifying opportunities to streamline departmental processes and develop a mechanism to manage the team’s process driven metrics.

What you’ll do:

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

  • Accountable for defining, planning, orchestrating, and delivering a given strategic initiative

  • Ensures end results are of the highest caliber with a clearly articulated scope and quantifiable business benefit

  • Defines and tracks project milestones through regular reporting to management

  • Develop a deep understanding of Advisor Enrollment procedures to add value to all departmental initiatives

  • Regularly interact with business partners (i.e. Sales and Service), to assess opportunities to improve workflow and anticipated business volumes

  • Develop metrics to monitor team performance

  • Define SLA for all key departmental processes

  • Monitor work allocations to ensure equal distribution across the team

  • Conduct business with respect for sensitivity to risk matters and ability to act in a diplomatic way and build strong partnerships with internal business units

  • Base business decisions on a sound analysis of risk

  • Understand risk and be able to develop proper mitigation when appropriate

  • Encourage appropriate escalation and resolution of risk issues

  • 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 project management experience

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

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

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

  • Ability to execute with limited information and ambiguity

  • Ability to communicate at all levels with clarity and precision both written and verbally

  • Focused and versatile team player that is comfortable under pressure

  • Excellent problem-solving and critical-thinking skills

  • 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)

  • Strong attention to detail

  • 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

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: None

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

Position Located In: AZ - Phoenix

Education: BA/BS

Job Type: Full Time

Category:Risk Management

Activation Date: Thursday, July 20, 2017

Expiration Date: Monday, August 14, 2017

Apply Here