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Team Lead, Institutional Operations

Location Phoenix, Arizona, United States; Westlake,Texas,United States;Orlando,Florida,United States;Lone Tree,Colorado,United States; Requisition ID 2021-73490 Category Client Service Position Type Regular CO Salary Range 48,500 - 81,300
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Your Opportunity


In Advisor Services we have built our business on serving the needs of RIAs and advancing an industry that helps the advisor and their clients thrive.  We understand their needs, and work side by side providing them the support to help them manage their firm and meet their goals.  In the centralized Workflow Solutions team, our mission is to provide quality and timely workflow support to our service teams and our Advisors.

The Workflow Solutions Team Lead plays a hybrid role of handling managerial and supervisor responsibilities while also balancing production to provide support to the team. They will be relied upon to monitor our case workflow for meeting our service level agreements, providing applicable coaching to team members, handling escalated items from internal or external inquiries, while also staying in production to meet demand.

What you are good at


  • Handle incoming operational volume for the AS Service organization. This would include complex processing work and items not in good order.
  • Resolve Series 9/10 workflow once work is centralized and provide analysis and coaching on identified trends.
  • Reach out to Advisors on not-in-good-order work via the phone or electronic alert requesting corrected paperwork or new paperwork based on various situations
  • Handle complex or out-of-the box requests or SME roles and own them to completion
  • Advocate for the Advisor experience by owning the escalation and/or exception process by balancing risk in an effort to find a resolution
  • Manage to a standard of quality in our work that exceeds the expectations of our business partners and our Advisors
  • Monitor current and aged work and liaison with appropriate business partners to ensure we are meeting service levels
  • Meet with employees to provide coaching or feedback on their quality of work and their alignment to our quality program
  • Identify trends in operational paperwork and seek to educate our service teams and our internal partners on how to increase efficiency
  • Assist manager with adhering to plan of supervision as necessary
  • Review quality checks within the workflow and enforce a quality program with the team to ensure we are consistent across all groups
  • Take the initative to optimize existing workflows to reduce hand-offs or increase efficiency to ultimately improve the client and employee experience
  • Maintain a strong band of communication between internal business partners, including operational partners and leadership

What you have


  • Excellent organizational skills with a demonstrated ability to problem solve, interact with individuals at various levels, and think on your feet
  • Proficiency in the design, implementation, and delivery of training programs for continuing education of processes, regulations, products, and services
  • Passion for leading others with a desire to move into a people leadership position
  • Willingness to pivot and constantly shift focus based on needs of the entire team and organization
  • Ability to multi-task and handle a large quantity of volume at once, while maintaining a high level of accuracy
  • In-depth knowledge of Advisor Services products, services,  as well as demonstrated brokerage industry knowledge
  • Demonstrated ability to prioritize business needs and manage time effectively
  • Advanced technical skills with team-orientation and the ability to act as a resource for development of the team’s effectiveness. 
  • FINRA Series 7, 63 licenses required; Series 9/10 required (willing to consider COE for highly qualified individuals)
  • Minimum of 4 years in Advisor Services preferred

Colorado Compensation

Target Total Compensation – 48,500 – 81,300

Your actual pay will be based on your skills and experience -- talk with your recruiter to learn more.

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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