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    Supervision Oversight, Senior Specialist - Orlando, United States - Charles Schwab & Co, Inc

    Charles Schwab & Co, Inc
    Charles Schwab & Co, Inc Orlando, United States

    1 week ago

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    OTHER
    Description
    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 Supervision Oversight Team's purpose is to provide all departments within AS support with their supervision requirement via identification, assessment, monitoring, and reporting.

    The Supervision Oversight, Senior Specialist assists the business with their supervision requirement by performing daily comprehensive reviews of operational items, reports, electronic communications, and risk trades. You will participate in enhanced review, monitoring, and testing of data as requested. The Senior Specialist acts as the point of contact for several departments and teams across the organization to provide support, knowledge, and expertise. The Supervision Oversight Team maintains comprehensive and current knowledge of Evidence of Supervision (EOS) guidelines and procedures and participates in projects that support AS.

    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 experience.
    • At least 3-5 years of financial services industry experience (brokerage preferred).
    • Series 7, 9/10 or 24, and 63 registrations.
    • The ideal candidate will possess a thorough understanding and knowledge of the policies and procedures governing various departments within Advisor Services.
    • Strong analytical, research, and communication skills.
    • Demonstrate proficiency in MS Office such as Excel and Access.
    • Strong attention to detail and documentation skills.
    • Strong organizational skills with ability to work on multiple assignments and complete them within established deadlines.
    • Ability to prioritize effectively in a fast-paced environment and function in a professional manner under pressure.
    • Proven 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.
    • Positive attitude, enthusiasm, professionalism, and strong work ethic with high level of integrity and ethics.

    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 plan
    • Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
    • Paid parental leave and family building benefits
    • Tuition reimbursement
    • Health, dental, and vision insurance
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