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Sr. Manager, Alternative Investments

Location San Diego, California, United States Requisition ID 2021-74295 Category Client Service Position Type Regular
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Your Opportunity


TD Ameritrade Institutional Services joins Charles Schwab Advisor Services as 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.

TD Ameritrade Institutional Alternative Investments (name likely to change) is an escalation team that promotes client loyalty by providing high quality subject matter expertise to our advisors and internal business partners.  The team educates and partners with advisors, prospects, and internal business partners on matters relating to Alternative Investments, Restricted Stock and Employee Stock Ownership Plans (ESOP) including regulation, legislation, exemptions, filings and TD Ameritrade’s process, service, and policy.

This position will initially be working with existing TD Ameritrade systems, clients and employees, but will report to an existing Charles Schwab manager.  This position will play an important part in the Schwab/TD Ameritrade integration, working side by side with leadership on both sides.

What you are good at


The Senior Team Manager will have specific responsibility for:

  • Leading a team of 8-12 client-facing (advisor-facing) representatives who serve as the central point of contact for Alternative Investments, Restricted Stock and ESOP, supporting complex, high net worth client/advisor relationships by researching, understanding and responding to issues relating to Alternative Investments, Restricted Stock, and ESOP; finding flexible solutions, managing and resolving problems and high risk issues in a timely and effective manner while providing exceptional client service
  • Performing day to day team management responsibilities including performance management, coaching, development, risk supervision, metrics and reporting, managing workflows, resolving issues. and delivering business results
  • Setting clear expectations and consistently providing information, resources, feedback, coaching and recognition that helps employees improve their performance and their engagement
  • Assessing and resolving escalated client issues at a moment’s notice, helping both IAs and internal partners navigate Alternative Investments, Restricted Stock and ESOP
  • Identifying potential risk issues pertaining to all facets of the team
  • Ability to make sound business decisions and enforce company policies in accordance with applicable regulations and procedures
  • Handle escalated issued on behalf of the manager
  • Providing creative ideas and solutions that will benefit the business and set the strategic direction for the team
  • Working collaboratively with other managers and leadership in cross-departmental projects and initiatives
  • Project management responsibilities are required in the day-to-day activities

What you have


  • Series 7, 63 or 66, 9 & 10 (or Series 24) licenses required 
  • 3-5 years of people management experience, preferably within financial services 
  • Bachelor’s degree or equivalent experience 
  • Strong leadership, motivational, and coaching skills with ability to drive results and develop employees 
  • Excellent communication and interpersonal skills; ability to develop, drive and maintain productive working relationships with team, advisors/clients, peers, senior management and business partners, as well as ability to condense policies and concepts into clear, concise language
  • Ability to proactively balance workload and review needs with current volume and escalate concerns/findings appropriately. Good organizational skills with the ability to prioritize and handle multiple competing priorities within established deadlines
  • Problem resolution skills as well as the ability to build a consensus and persuade others in a matrixed organization
  • Exercise business judgment including the ability to identify business risks and articulate those risks to business partners and all levels of management
  • Ability to proactively identify process improvements, delegate projects and tasks, and manage projects involving all staff levels
  • The ability to embrace change and innovate
  • Exceptional attention to detail and analytical skills
  • Demonstrated ability to build collaborative relationships with business partners
  • Excellent time and resource management skills  
  • Knowledge of Advisor Services/Institutional Services business policies and procedures, products and services is preferred

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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