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Schwab Advisor Services is the leading provider of custodial, operational and trading support for independent, fee-based investment advisors. We’re looking for individuals excited about helping advisors grow successful businesses through a proactive and focused approach to service.
Estate Services is a specialized organization within the broader Schwab Operational Services Enterprise providing high-touch service to our clients and to the advisors that serve them. Estate Services fulfills our purpose of championing every client’s goals with passion and integrity. We inspire client loyalty by providing Estate guidance to our clients and advisors.
Operational Control strives to assist our Operational Services and Client Business Partners in mitigating risk through a well-balanced control environment. Our mission is to protect the client and firm by partnering with businesses and technology to create a strong control environment. We offer a variety of enterprise-wide control services that will assist our partners in balancing efficiency, cost, and risk while ensuring regulatory and corporate policy compliance.
This Sr. Team Manager position will play a leadership role within the Operational Control Program by ensuring Operational Services maintain robust and efficient risk governance process by working closely with our lines of defense, business continuity teams, and participate in interactions with our regulators. The Sr. Team Manager will lead a team responsible for developing and supporting the following areas:
The role will lead and manage a team focused on the creation of new controls and enhance existing controls to ensure the control environment for Operations complies with our Enterprise Risk Management Framework.
- Prepare Operations for control testing administered by our Lines of Defense testing teams and Regulators.
- Guide Operations during control testing and in forming remediation plans.
- Collect and communicate business intelligence on control issues to proactively and continuously improve the control environment for Operations.
Charles Schwab’s Move Money Solutions is responsible for risk prevention, processing of money movements, and education of policies and procedures related to money movement. We focus on maximizing operating leverage by integrating functions, increasing productivity and gaining efficiencies in order to better position Schwab to compete in the marketplace and to reinvest in areas that matter most to our clients. As an elite team of experts, we are committed to delivering efficient solutions that maximize trust while minimizing risk by owning every client interaction through clients’ eyes.
CRSS is a specialized team that promotes client loyalty by providing high quality subject matter expertise to our clients and internal business partners. CRSS team members are provided ongoing and hands-on training to support departments that encompass a variety of subject matters such as: tax, cost basis, corporate actions, securities operations, distributions and client reporting products. The work performed is detailed, and requires explanations to be communicated in a clear and effective manner. Explore an exciting and challenging opportunity to join an exceptional team within Operational Services that provides phone support and resolution of client inquiries.
The International Account Solutions team in Phoenix, AZ is a team within Operational Services Account Solutions servicing clients around the world. International Account Solutions provides operations and customer service support to international clients and internal partners to help grow and service our existing client base.
The Customer Verification and Research Center (CVRC) within Operational Services is responsible for performing and executing the firms Customer Identification Program (CIP). We provide service to both retail investors and independent advisors.
The Operations Associate will utilize various applications for Mutual Fund related activities through broker/dealers, the National Securities Clearing Corporation (NSCC), and multiple other trading platforms. Successful candidate will process requests with a primary emphasis on accuracy. Candidate will have continuous communications with Client Services and other support business partners. 3-5 years brokerage, transfer agent or trust operations experience preferred. Ability to work in a fast paced environment, attention to detail and outside the box thinking are a must. Candidates must be able to communicate effectively within a team environment.
The Managed and Advised Account Operations (MAAO) team performs a variety of functions and services for both Advisor Services and Investor Services clients enrolled in Schwab’s Managed Account products and the Schwab Private Client offer. Within MAAO, the Managed Accounts Reconciliation Service plays an integral role in providing support to internal staff and money managers via the Fiserv/APL database used for the Schwab Managed Account Sponsored platforms. A critical function of this team is the pre-market account reconciliation performed daily on all managed accounts. The team is comprised of members located in both Phoenix and Orlando. In addition to processing daily and weekly validation reports, the team also responds to escalations, service issues and operational questions received via email, phone and comtrack. Internal requests for Advised Offer billing adjustments are also handled by this team.
We provide an exceptional training program to prepare you for success in your new role. In addition, we realize that hard work deserves reward and we offer an extensive employee recognition program in addition to advancement and growth opportunities.
The Institutional Mutual Fund Trading Team facilitates the execution of mutual fund orders on behalf of 7000 Registered Investment Advisors (RIAs), Third Party Administrators (TPAs), and the Schwab Managed Accounts platform. The team provides a high level of expertise in multiple areas including: risk mitigation, research capabilities, managing large/complicated trades, cash/money market expertise and the support of multiple trading channels. Additionally, the team works closely with other institutional trading desks as well as Advisor Services Sales & Service, Mutual Fund Custody & Operations, and multiple technology partners to build a superior product offering and provide an outstanding client experience.
Client Reporting Security Services is an escalation team that promotes client loyalty by providing high quality subject matter expertise to our clients and internal business partners. CRSS team members are provided ongoing and hands-on training to support departments that encompass a variety of subject matters such as: tax, cost basis, corporate actions, securities operations, distributions and client reporting products. The work performed is detailed, and explanations must be communicated in a clear and effective manner as clients can make financial decisions based on the information given. Explore an exciting and challenging opportunity to join a proud top-notch team within Operational Services that provides escalation phone support and resolution of client inquiries.
The Business Process Transformation team at Schwab is a cross-functional group that is helping to drive transformation across the firm. We use a variety of methodologies, tools and capabilities to drive large-scale change. Alongside our business and technology partners, we are responsible for protecting and safeguarding the assets of the firm and our clients while continuing to increase scalability, efficiency, and service experience.
The Director of Product & Process Transformation role is central to Schwab’s transformation efforts and the firm’s broader “Smart Processing” strategy. Smart Processing is at the center of Schwab’s sustainable competitive advantage. Smart Processing requires end-to-end, ecosystem strategy, vision, planning, and execution. When executed well, it drives tangible near-term benefits for Schwab and our clients, including greater scale via increased levels of automation and straight-through processing, greater transparency into service and operational processes, and more efficient and personalized service. Smart Processing also drives our long-term strategy through creation of data assets that will power AI and Machine Learning applications leading to even greater scale, personalization, and speed to market for Schwab’s next generation of products and features.
This role owns the strategy development, product vision, execution, and evolution of our most important service, processing, and client experience elements (e.g. opening accounts, moving money, asset acceptance, corporate action elections, etc.). This role would be responsible for integrating technology, data, and process excellence into product strategy and execution, ensuring delivery of business value in line with the broader Smart Processing strategy. This role must build momentum for the product vision with Senior Leaders across the enterprise, while executing flawlessly through agile software development practices.