Manager, Client Account Operations (PL)

Your Opportunity

At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.

We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location(s).

Flexibility is a key aspect of the Operations Client Account Services Manager role.  The manager will support a team of licensed principals responsible for the review and approval of new accounts, account updates and options.  The ideal candidate will need to be equally comfortable with direct support of team members as they navigate client requests, networking internally to research and resolve client operational issues, and comfortable analyzing business risk to determine solutions. To be effective in this role, you will demonstrate the ability to build and sustain strong relationships with internal partners across multiple locations; ensure service levels and client needs are met or exceeded daily; prioritize associate development; and continuously identify opportunities for efficiency and operational excellence.

The Operations Sr. Team Manager has direct supervisory responsibilities over a 13-15 person team and must maintain an engaging team approach to all work. The manager ensures that all functions are performed in a timely and accurate manner within Schwab policies and procedures while proactively finding opportunities for transformation and problem solving. Providing appropriate levels of employee development is an important aspect of this role, including providing feedback, coaching, oversight, and supervision as well as employee performance evaluations. As a member of the management team responsibilities also include participating in the ongoing planning and direction of the teams when appropriate.

What you'll do:

Team Development

• Provide ongoing coaching, feedback, and training to support individual and team growth, including one-on-one sessions and tailored development activities.
• Mentor team members, foster engagement, and build a culture of knowledge sharing and skill enhancement.
• Encourage principals to actively participate in problem-solving and leadership initiatives across the organization.
• Ensure team members are updated on performance metrics, policies, and procedures.

Operational Oversight

• Manage daily service levels, workflows, and respond to escalations, resolving issues efficiently within your scope of authority.
• Supervise activities and delegated activities, including enforcing company policies in line with regulations.
• Act as a consultative resource on OSAS policies, procedures, and product offerings to ensure regulatory compliance and suitability.
• Support service queues as needed, adapting to business demands.
• Lead by example, demonstrating integrity, professionalism, and a commitment to excellence.

Process Improvement

• Champion continuous improvement by recommending and driving enhancements to current policies and procedures.
• Utilize LEAN methodologies to drive operational transformation and power business results.
• Collaborate with other OSAS Team Managers, business partners, and leadership across the network to deepen relationships and advance key business initiatives.
• Lead and participate in cross-functional projects that foster innovation and encourage team members to contribute their ideas.

What you have

To ensure that we fulfill our promise of "challenging the status quo," this role has specific qualifications that successful candidates should have.

Required Qualifications:

• Active FINRA Series 7 & 63 (or 66) licenses
• Active FINRA Series 24 & 4 (Highly Preferred) or Series 9/10. Applicants with their Series 9/10 will be required to complete the Series 4. Condition of Employment (COE) may be considered.
• College degree or equivalent experience.
• Military experience may be substituted in lieu of education and/or experience

Preferred Qualifications: 

• Minimum 5+ years previous client service or management experience is preferred.
• Knowledge of Options/financial services industry with minimum three years prior industry experience preferred, including account product and services, and coaching and development
• Demonstrated passion for providing client-centric solutions
• Positive attitude, enthusiasm, professionalism, and strong work ethic with high level of integrity and ethics
• Excellent verbal and written communication skills to influence, build consensus, and effectively drive accountability.
• Strong organizational skills with the ability to prioritize, delegate, and handle multiple competing priorities within established deadlines.
• Ability to effectively resolve escalations that arise during day-to-day activities
• Responsive and partnership-oriented approach when working with key contacts in operational services, workflow solutions, compliance, risk, and among other groups.
• Must be team-oriented with the ability to act as a resource for development of the team’s effectiveness.
• Strong knowledge and support of company initiatives, with the ability to influence others
• Good written and verbal communication, listening and analytical skills
• Able to quickly assimilate and understand the systems utilized throughout the company

In addition to the salary range, this role is also eligible for bonus or incentive opportunities