Specialist, AS Alternative Investment Order Entry

Your Opportunity

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 byChuckover 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.

Advisor Services is the leading provider of custodial, trading, technology, and practice management to registered independent advisory firms. We provide access to sophisticated wealth-management services that help advisors attract and retain affluent clients, as well as profitably grow, compete, and succeed in their business efforts.

Advisor Services Trading Operations is a team that reviews and processes Alternative Investment purchases and redemptions.  The team is responsible for reviewing all Letters of Authorizations and Fund Documents to ensure Advisor/Client requests are processed in a timely manner.  The team partners with AI Service, SS&C (Vendor), and internal business partners on matters relating to regulation, legislation, exemptions, filings and Schwab’s Alternative Investment process, services, and policies.

What you have

• You will join a team of 15-20 representatives who review Fund Documents to ensure no required information is missing.
• You will review Letter of Authorization Forms for multiple Alternative Investment platforms to ensure that all required information is present. You will ensure Advisor/Clients are using correct forms, and all signatures are present during review.
• You will partner with Advisor Services to communicate when Not In Good Order Items are delivered to our team.
• You will partner with multiple Operations Partners to resolve issues when purchases and/or redemptions do not occur as planned.
• Provide support on expedites that are requested from Advisors to meet critical deadlines that could cause missed opportunities for Clients.
• Receive communications from multiple issuers to review and process capital calls based on Schwab Custody Standing Instructions.
• Provide email-based support to enhance the client experience and promote client retention through service quality and delivery of timely and accurate information.
• Will communicate Not in Good Order items to advisors via Schwab Advisor Center status messages.

What you have:
• Preferred 2 years’ experience in operations or client service role (if no college degree)
• Solid communication skills, both verbal and written, including the ability to condense policies and concepts into clear, concise language.
• Problem resolution skills as well as effective collaboration across departments to resolve issues, and the ability to build a consensus and persuade others in a matrixed organization.
• Exercise business judgment including the ability to identify business risks and articulate those risks to business partners and all levels of management.
• The ability to embrace change and innovation.
• Exceptional attention to detail and analytical skills
• Excellent time and resource management skills
• Proficient with Microsoft Outlook, Excel, Teams, Word, and ADOBE Pro