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).

This OSAS 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) across various enterprises. 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 primary responsibility of this role will be to approve work that requires this level of approval. There will be various other duties assigned that may or may not require licenses.

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 firm – taking into consideration business, brand, financial, and regulatory risk.
• Apply firm’s risk tolerance criteria to ensure clients who apply for certain account privileges are granted approval that is supported by their profile.
• Use critical thinking and 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 assist Schwab clients in maintenance of their accounts as well as performing detailed research and follow-up.
• 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 efficiency with excellent quality.
• Review complex trust and legal documentation and apply sound judgment for escalations from business partners.
• Apply LEAN/Transformation Enablement methodologies to support strategic initiatives and continuous improvement to create better client experience.
• Tailor communication to the audience, summarizing and clarifying information to prevent miscommunication and ensure understanding.
• Recognize and celebrate team contributions, motivate others, and support a collaborative, high-performance culture.
• 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 Series 7 license 
• Active Series 63 or 66 license 
• Active Series 24 or Series 9/10 license 
• Active Series 4 license preferred.  A Condition of Employment (COE) may be considered for Applicants without the Series 4.
• A Condition of Employment (COE) may be considered for Applicants without the Series 24 or Series 9/10 license. Applicants would be asked to complete the Series 24.
• 4 years of Financial Services experience with Brokerage experience preferred
• College degree or equivalent experience

Preferred Qualifications: 

• Strong analytical skills and ability to perform complex tasks with a superior level of attention to detail; Can operate with little instructions on day-to-day work with general directions on assignments
• Strong working knowledge of Schwab internal systems, tools, and resources; including but not limited to Client Central, MyQ, NICE, and SharePoint.
• Effective communicator (written and verbal), able to effectively interact and coordinate with the team, other departments and business units.
• 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.
• Positive attitude, enthusiasm, professionalism, and strong work ethic with high level of integrity and ethics.
• Demonstrates the ability to propose effective, business driven solutions utilizing LEAN methodologies.
• Ability to organize, prioritize, and share work responsibilities as needed to manage and ensure 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 opportunities