Your opportunity

Charles Schwab’s Wealth & Advice Solutions (WAS) organization offers industry-leading wealth, advice and investment solutions along with specialized wealth expertise to both retail and registered investment advisor (RIA) clients. The group supports a wide range of services, including business strategy and integration, offer design, product management and client experience improvement for Schwab’s retail solutions and products. To do this, we work with partners and delivery organizations to ensure key processes / interactions are designed and executed smoothly. We also manage tradeoff decisions and priorities to enhance the overall client experience and drive revenue growth. Within the WAS Offer, Operations & Strategy group, the Schwab Advisor Network® (SAN) team is responsible for end-to-end strategy, management operations and governance of the SAN business.

The Senior Specialist role in the Schwab Advisor Network® (SAN), Schwab’s retail full-service discretionary advice offer, will play a pivotal role in helping drive the team’s agenda, serving as a supporting contact for business operations, due diligence, compliance and ensuring critical control tasks are executed properly. The Senior Specialist will partner with a wide variety of teams across Investor Services and Advisor Services and have the opportunity to drive the growth of this important managed investing offer through improvements to the client and rep experience, while identifying and mitigating risks. The successful candidate will have a strong blend of operations management, regulatory risk management, governance and compliance knowledge, and relationship management abilities that allows them to build strong partnerships across a matrixed organization and think critically while tactically executing day to day business requirements.

Role specifications:

Understand risk and be able to articulate and be a sound partner in development of proper mitigation when appropriate; utilize acute risk analysis and business judgement to identify and escalate risk matters to SAN senior management and assist with resolution management. Lead due diligence reviews of RIAs and representatives that includes but is not limited to flagging, researching and escalating cases to SAN senior management; conduct balanced analysis to provide review and decision support to SAN senior management.Implement and enhance processes and controls defined in the SAN Risk Management Framework, support issue resolution management, serve as point of contact / SME as it relates to SAN participation requirements and maintaining Advisor “good standing” status in the Program. Help monitor procedures and communications to ensure day-to-day processes have the appropriate level of oversight and identify areas of opportunity to optimize the SAN operations and risk management model.Proactively seek information pertaining to regulations that could impact the SAN business, partner with SAN senior management and internal business partners to identify the impact and develop solutions.What you have

The ideal candidate will possess the following capabilities:

Team player with strong work ethic and high sense of urgency who is able to work well alone as well as with others on any given task/assignment. Demonstrable collaborative and partnership skills with key stakeholders and business partners, with the ability to influence and build consensus with partners one to two levels above.Ability to think critically, including ability to problem-solve and escalate for further review and validationA client-centric focus – keeps clients in forefront of decisions, connects plans and actions to our purpose of serving clientsHigh attention to detail and experience with rigorous quality control approaches with a focus on accuracy, and an eye for continuous improvementStrong planning and organizational skills; ability to manage multiple tasks that vary in scope and complexity simultaneouslyExceptional written and verbal communication skills to establish credibility and support strong day to day partner interactionsPossess confidence, diplomacy and strong interpersonal skillsSelf-starter – proactive entrepreneurial spirit, curious with a can-do demeanor and the ability to learn quickly and thrive in a complex, dynamic environment.2-3 years of relevant experience, with 1 year supporting Schwab Advisor Network; relevant risk management, compliance, supervision or audit experience preferredMergers & Acquisitions planning experienceBachelor’s degree or equivalent combination of education and related work experience highly desirableExpert in Microsoft Excel, Word, PowerPoint, and Adobe PDF, PowerQuery and VBA required
What’s in it for you

At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

401(k) with company match and Employee stock purchase planPaid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positionsPaid parental leave and family building benefitsTuition reimbursementHealth, dental, and vision insurance Apply Save job