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IPO Services Professional

Location Austin, Texas, United States Requisition ID 2021-69672 Category Client Service Position Type Regular
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Your Opportunity


The Internal Public Offering Services team is responsible for running the Retail and Advisor Services IPO/SPO process. The IPO Services team is also responsible for client and advisor communications, handling all allocation and scoring of IPO deals, supporting business partners, and providing education while working within a highly regulated environment. This role interacts with high and ultra-high net worth clients.

What you are good at


  • Providing support and outstanding service to a wide range of both internal and external clients.
  • Maintaining the IPO Hotline and/or other communication channels to deliver field assistance on a wide variety of items including retail & advisor service and operational support.
  • Adapt to a constantly evolving environment when supporting the CS&S organization during high volume periods and contingency events.
  • Become familiar with internal tools used to support end client share allocation.
  • Successfully learn to perform the IPO process including scoring and allocations.
  • Ensure compliance and regulatory standards are met.
  • Remain abreast of evolving industry and regulatory changes impacting the department and our clients.
  • Lend to the IPO Service’s team professionalism, market expertise, technical capabilities, communication skills and proactive outreach activities.
  • Exhibit ownership by assessing and resolving escalated client concerns at a moment’s notice.
  • Proactively recognize strategic business opportunities and be willing to challenge traditional processes with manager, colleagues, and business partners.
  • Work collaboratively with other peers across the network and successfully engage in cross-departmental projects and initiatives where opportunities present themselves.
  • Support the training department as an IPO Subject Matter Expert (SME) and training facilitator if necessary.
  • Coordinate and partner with numerous internal departments, external business partners.
  • Collaborate within the IPO Services Group Community to share ideas and solutions.

In addition to base salary, IPO Services Managers may take advantage of Schwab’s extensive benefits program and earn a bonus which rewards team goals, client satisfaction, client retention, and profitable company growth. Schwab employees also have the opportunity to take part in community service projects and other company events.

What you have


  • Active FINRA Series 7, 63, 9/10 (8) licenses
  • At least 2 years of Client Service experience in Schwab Client Services & Support preferred
  • Experienced trading background, client relationship support and/or escalation experience preferred
  • Thorough knowledge of brokerage/financial services industry, market mechanics, audit, compliance, and general regulatory developments preferred
  • Positive attitude, passion to learn, professionalism, and strong work ethic with the highest level of integrity
  • Comfortable working in both a team and independent environment
  • Flexibility of schedule necessary, including periodic evening hours particularly on nights of pricing
  • Extreme attention to detail and accuracy required
  • Demonstrated passion for providing client-centric solutions
  • Excellent verbal and written communication skills to influence and build consensus
  • Confirmed presentation skills with experience working collaboratively across business units
  • Ability to be registered in all US States and Territories is required

Flexibility

Remote

Work from Home

financial advisor

investments careers

series 7 jobs

securities license jobs

customer service

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 applicantaccessibility@schwab.com 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.

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