Sr Specialist, Client Account Operations

Your Opportunity

Schwab remains committed to providing increased visibility to career growth opportunities and job requirements. This posting announcement is part of increased transparency and while all qualified applicants will be reviewed and considered, this organization has a preferred candidate identified for this role.

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).

Operational Services Account Solutions (OSAS) is the primary operations support department for New Accounts, Account Maintenance and Principal Revews and Approvals. OSAS provides service to multiple business units including but not limited to our retail clients and financial advisors.

This Principal role will join a centralized team responsible for client requests that require review and approval by a licensed Principal (i.e., New Accounts, Options Trading, Account Updates). Industry regulations detail specific activities and products on a client account that require a Series 4, Series 24, or Series 9/10 review and approval. The primarily responsibility of this role will be approving work that requires this level of approval, there will be various
other duties assigned that may or may not require licenses.

As a member of our OSAS team with a focus on Principal Review for various enterprises, you will be responsible for reviewing new and existing account update requests and client correspondence for our clients. Below outlines a summary of additional responsibilities for this role:

• Serve as a member of our centralized principal team , approving and accepting account documentation on behalf of the fin-n - taking into consideration, business, brand, financial, and regulatory risk.
• Apply the firm's risk tolerance criteria to ensure clients who apply for certain account privileges are granted approval that is supported by their profile.
• Use sound judgment to grant account privileges when faced with conflicting or contradictory information.
• Interact With clients to resolve discrepancies or clarify inconsistencies on their applications.
• Exhibit a passion for client service, positive energy, and problem-solving skills to Schwab clients in maintenance Of their accounts as well as perform ing detailed research and follow-up, Via phone contact
• Establish Clear points Of contact for one-stop resolution and for ongoing support and escalations
• Demonstrate flexibility and work collaboratively with other team members to deliver high quality service and meet client expectations
• Manage multiple tasks effectively by balancing high productivity with excellent service quality
• Learn additional duties within the organization to enable efficient deployment of associates to address seasonal volume changes.

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 and valid FINRA Series 7, Series 63 and Series 24 or 9/10 required. 
• Series 4 is required, would consider a Condition of Employment for highly qualified applicants
• College degree or equivalent experience

Preferred Qualifications: 

• 2+ years of experience within OSAS Investor Services preferred
• Solid analytical skills and ability to multi-task to perform multiple complex tasks with a superior level of attention to detail; Can operate with little instructions on day-to-day work with general direction on assignments
• Advanced technical skills with the ability to utilize multiple applications at any one time, including Windows, internet researching, database systems, and email
• Excellent communication skills both verbal and written; will be responsible for reviewing, editing and sharing feedback on communication created by other team members
• Passion for working in a team environment - contributing toward departmental and team goals and objectives. Peer influence skills a must to help drive and support change and the Schwab culture
• Enjoy working in a structured environment during specified hours as determined by business need.
• Positive attitude, enthusiasm, professionalism and strong work ethic with high level of integrity and ethics.
• Excellent knowledge of investment products and industry regulations
• Effective self-starter
• Ability to identify and communicate process improvement opportunities in a fast paced environment
• Ability to organize, prioritize, and share work responsibilities as needed to manage and ensure the successful completion of client requests within agreed -upon service levels
• Proven ability to work effectively in a team setting as well as independently with minimal supervision

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