Senior Manager, Risk Monitoring

Your Opportunity

Advisor Services (AS) 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.

The Advisor Services Risk and Supervision Management (RSM) team’s purpose is to monitor and mitigate risk while providing AS with innovative services that support their growth.  We conduct reviews and research to identify risk and control gaps as part of the firm’s risk control framework.  RSM is committed to supporting several departments within AS and maintaining an active leadership role in identifying, developing, and representing the organization in key initiatives.

Key responsibilities for this role

As part of the investigative process the RSM Senior Manager will identify risk and control gaps and propose updates to guidelines and procedures as necessary. This person must demonstrate a high degree of initiative with limited direct supervision when addressing their daily responsibilities and must help support the strategy and direction of their teammates when needed in alignment with organizational goals and objectives.

We are looking for a self-starter who can manage multiple tasks concurrently and within deadlines. Strong communication skills, able to demonstrate past successes in active listening and seeking clarity with stakeholders, with impactful written communication. 

You should be able to demonstrate consistency in exercising sound judgment and decision making with respect to risk issues. The ability to effectively balance overall workloads and additional responsibilities at a high level of competency is required. Must demonstrate personal initiative, innovative thinking, and cross functional collaboration while demonstrating the ability to drive change and implement process improvements.

In addition to the above responsibilities, this individual should have solid knowledge and understanding of specific Schwab offerings, such as Family Office and BSLOA.

What you have

Required Qualifications

• Bachelor’s degree or equivalent experience
• 5-7 years of financial services industry experience (brokerage preferred) 
• Series 7, 9/10 and 63 registrations required (or series 24, 4 and 53)

Preferred Qualifications

• The ideal candidate will possess knowledge of policies and processes governing various departments within Advisor Services
• Professional experience working in a risk environment 
• Excellent attention to detail, problem-solving and critical thinking skills.
• Strong organizational and time management skills
• 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
• Ability to adapt to changing business needs
• Demonstrate strong presentation skills
• Positive attitude, enthusiasm, professionalism and strong work ethic with high level of integrity and ethics
• Proven track record leading and developing business change initiatives.
• Outstanding interpersonal, influencing, with well-developed verbal and written communication practices.
• Ability to form relationships effectively and quickly to establish trust, respect, competence and confidence.
• Outstanding analytical skills, research capabilities and attention to detail