Trading Allocation Risk Management

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.

What you have

• Leadership, Emotional Intelligence & Growth Mindset
• High emotional intelligence, including self-awareness, empathy, adaptability, and the ability to build trust across diverse stakeholder groups.
• Exceptional relationship-building and social skills with the ability to navigate difficult conversations and drive alignment across teams.
• Leadership mindset with a willingness to take extreme ownership, lead through ambiguity, and deliver results.
• Strong interest in leading projects and strategic initiatives in addition to day-to-day operational responsibilities.
• Ability to influence stakeholders and drive change without direct authority.
• Excels in a fast-paced environment where adaptability, critical thinking, and risk awareness are essential.
• Committed to continuous learning, professional growth, and developing others.

To ensure that we have fulfilled our promise of "challenging the status quo," this role has specific qualifications that successful candidates should have.

Humility is the absolute first requirement for success in this role. In addition, we require the following:

• FINRA Series 7, 63 required
• 9/10 or 24 licenses are required (willing to consider COE for highly qualified individuals)
• AI fluency, or a desire to become AI fluent, with an interest in leveraging AI to improve efficiency, scalability, decision-making, relationship management, and risk mitigation.
• Bachelor's degree or equivalent experience preferred.
• 3-5+ years of experience in financial services, trading, operations, relationship management, project management, or risk management.
• Strong analytical, organizational, communication, and stakeholder management skills.
• Proven ability to solve complex problems, manage competing priorities, and make sound decisions under pressure.

Key Responsibilities

• Manage market, regulatory, and operational risk associated with unallocated block trades, open master account positions, and trade error activity.
• Monitor and resolve T+1 trade allocation exceptions to ensure timely allocation, minimize firm and client exposure, and support regulatory compliance requirements.
• Investigate, analyze, and coordinate the resolution of complex trade errors, balancing client outcomes, regulatory obligations, financial exposure, and operational risk.
• Serve as a subject matter expert on trade allocation requirements, including FINRA Rule 4515.01, SEC Rule 15c6-2, and Schwab's internal Failure to Allocate (FTA) policy.

Conduct proactive outreach