Director, AS Policy, Forms & Project Execution

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, a preferred candidate has been identified for this role.  

The Director for Advisor Services Policy, Forms & Project Execution is responsible for supporting business goals through the delivery of projects spanning regulatory changes, internal auditing, exception and risk management and policy improvement. Our team collaborates across the Advisor Services organization as well as our peers across the firm to deliver business improvements through efficient, disciplined project execution of effective solutions to business problems and opportunities.

Key Outcomes:

• Effectively manage a team reviewing AS Policy & Forms.

• Responsible for maintaining and leading a governance structure to manage changes to AS Policies, Procedures and Forms.
• Directs large-scale, complex projects often involving multiple internal and external constituents and partners.
• Continuously coach and develop managers for ongoing growth and development.
• Creates a successful partnership with other leaders in multiple sites to ensure objectives are met by creating clear expectations, establishing clear ownership and measuring success.
• Will provide strategic direction on service and project initiatives, sharing vision and scope.
• Oversee the implementation of processes and procedures, employee performance evaluations, daily performance support, and strategic planning for the team.
• Understanding of the organization’s obligations in order to meet internal and external expectations by regulators, auditors and business partners.

What you have

• 5+ years of experiencing managing teams including complete ownership of development and performance evaluations
• 10+ years of financial services industry experience (brokerage and fraud preferred) 
• Ability to identify and solve complex issues in a team environment working with various levels of management and business partners
• Ability to communicate at all levels with clarity and precision both written and verbally; proven track record of establishing proactive, constructive dialogue with senior business leaders and peers
• Excellent problem-solving and critical-thinking skills
• Ability to execute challenging conversations with internal partners and external clients
• Strong organizational skills with ability to lead a team on multiple assignments to completion within established deadlines
• Positive attitude, enthusiasm, professionalism, and strong work ethic with high level of integrity and ethics
• Bachelor’s degree or equivalent experience
• Series 7, 9/10, 24 & 63 required