Charles Schwab Corporation

Specialist, Trading Operations

Job Locations US-AZ-Phoenix | US-CO-Lone Tree
Requisition ID
Posted Date
2 days ago(8/2/2021 6:29 PM)
CO Salary Range
48,300- 73,900
Position Type
Full time

Your Opportunity

Trading Operations 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. 


We provide dedicated service to these advisory firms. The focus is on building relationships and a more personalized approach to service. They build strong rapport with Investment Advisors, know them on a first name basis and provide that one on one service that Schwab is known for. 


The Team provides a wide range of phone based service and support to institutional clients (independent investment advisory firms) to enhance the client experience and increase client loyalty. We work with peers, client, and business partners to mitigate risk and ensure timely settlement booking trades. Our group researches and responds to client issues related to trades executed away from Schwab. We promote client retention and identifies opportunities to expand existing relationships through service quality, delivery of timely and accurate information in response to inquiries and/or service issues, and services, and recommending service or process enhancements. 

What you are good at

  • The Trade Away Service (TAS) representative will provide settlement services to Investment Advisors who maintain multiple trading relationships for client accounts held within our firm. Representatives in this position will support trade settlement functions with Investment Advisors who execute trades away from Schwab
  • Ensure compliance of SEC /FINRA regulations
  • Ensure proper documentation for client accounts and clearing broker/dealer firms
  • Key working relationships include Settlement Operations, Advisor Service Teams, Trading Desks and Advisor Services Sales 

What you have

  • Ability to commute to Charles Schwab & Co. work location: Phoenix Peak
  • At least 2 years of financial services industry experience
  • A working knowledge of Settlement Operations, with street side experience is a plus, including knowledge of DTC, foreign, government, physical delivery, and restricted securities
  • Knowledge of DVP trading: Prime Broker, Client to Client, Step Out, CMTA and Broker to Broker is also helpful
  • Strong customer contact skills, along with excellent interpersonal, verbal, and written communication skills
  • MS Excel and MS Word skills a plus
  • Strong organizational skills and ability to multi-task are critical
  • Must work well in a collaborative team environment, including cross locations
  • Bachelor's degree or equivalent experience is preferred
  • FINRA Series 7 & 63 is preferred (or have a strong desire to obtain your licenses-materials provided)


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Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.


Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further. 


Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here to see the policy.


Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at or call 800-275-1281.


TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.