Your opportunity

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.

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 in an effort 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.

We are looking for an analytical self-starter who will perform comprehensive reviews of operational items and exception reports while implementing corrective actions based on findings.  The analyst will conduct due diligence reviews as prompted by internal surveillance systems and will participate in the enhanced review, monitoring and testing of data as requested. The role entails conducting case investigations when warranted by researching, collecting and documenting all necessary evidence. The composition of high-level investigative reports and presentation of findings to management and peers may be required from time to time.  As part of the investigative process the RSM analyst will identify risk and control gaps and propose updates to guidelines and procedures as necessary.

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:

Bachelor’s degree or equivalent experience3-5 years of financial services industry experience (brokerage preferred) Series 7, 9/10 and 63 registrations required (or series 24, 4 and 53)An understanding and knowledge of policies and processes governing various departments within Advisor ServicesStrong analytical, research and interpersonal skillsStrong attention to detail and documentation skillsStrong organizational and time management skills with ability to work on multiple assignments and complete them within established deadlinesAbility to prioritize effectively in a fast-paced environment and function in a professional manner under pressureAbility to identify and solve complex issues in a team environment working with various levels of management and business partnersAbility to adapt to changing business needsPositive attitude, enthusiasm, professionalism and strong work ethic with high level of integrity and ethics

Preferred Qualifications:

Professional experience working in a fraud, compliance or risk environment of the financial services industry is a plusProficiency in MS Office such as Excel, PowerPoint and Access
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