Sr. Specialist, Operations - Brokerage Principal Reviewer

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.

If you’re passionate about providing world class client service and are seeking an opportunity where you’re empowered to grow your financial services career with a diverse team, in a fast-paced collaborative work environment – this is the role for you! 

As a Personal Choice Investment Services (PCIS) Operations Specialist, you will provide superior service to our Third Party Administrators (TPA), Independent Record-keepers and retirement plan relationships acting as their primary Schwab contact.  It’s this level of service that differentiates us from our competitors and serves as a sustainable competitive advantage. 

What you’ll do:

• Perform Series (9)(10) or (24)(4) review on various paperwork types.
• Mitigate risk by being a vital role to maintaining an important department service level.
• Provide value-add recommendations to increase operational efficiencies and improve the client experience.
• Promote client retention and identify opportunities to build existing relationships through timely and accurate operational processing and service quality.
• Provide support for outgoing & incoming wires, money links, journals and check requests.
• Support the department with questions, expedites, and exceptions.
• Resolve complex situations or requests.

What you have

• Previous experience working with Third Party Administrators (TPA’s) and Independent Record-Keepers or Advisors
• Excellent operational, organizational and follow-up skills with the ability to manage and process complex operational work
• Strong customer contact skills, along with excellent interpersonal, verbal, and written communication skills
• Team-orientation with the ability to act as a resource for development of the team’s effectiveness.
• Positive attitude, enthusiasm, professionalism and strong work ethic with high level of integrity and ethics
• Intermediate to Advanced technical skills, with the ability to utilize multiple applications at one time, including Windows, internet researching, database systems, and email
• Experience with Risk assessment and compliance functions
• Series 9/10 or 24/4 licenses required
• Series 7 (SIE) and 63 (or 66) licenses required

In addition to the salary range, this role is also eligible for bonus or incentive opportunities.