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Senior Specialist, Business Unit Risk

Location Westlake, Texas, United States; Phoenix,Arizona,United States;Orlando,Florida,United States;Jersey City,New Jersey,United States; Requisition ID 2022-82065 Category Risk & Regulatory Position Type Regular
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Your Opportunity

Advisor Services (AS) is 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.

The Advisor Services Risk and Supervision Management (RSM) team’s purpose is to monitor and mitigate risk while providing AS with innovative services that support their growth.  We conduct reviews and research in an effort to identify risk and control gaps as part of the firm’s risk control framework.  RSM is committed to supporting several departments within AS and maintaining an active leadership role in identifying, developing, and representing the organization in key initiatives.

What you are good at

We are looking for an analytical self-starter who will perform comprehensive reviews of operational items and exception reports while implementing corrective actions based on findings.  The analyst will conduct due diligence reviews as prompted by internal surveillance systems and will participate in the enhanced review, monitoring and testing of data as requested. The role entails conducting case investigations when warranted by researching, collecting and documenting all necessary evidence. The composition of high level investigative reports and presentation of findings to management and peers may be required from time to time.  As part of the investigative process the RSM analyst will identify risk and control gaps and propose updates to guidelines and procedures as necessary.

What you have

  • Bachelor’s degree or equivalent experience
  • 3-5 years of financial services industry experience (brokerage preferred) 
  • Active and valid FINRA Series 7 license required
  • Active and valid FINRA Series 63 license required
  • Active and valid FINRA Series 9/10 OR Series 24/4 license required
  • The ideal candidate will possess an understanding and knowledge of policies and processes governing various departments within AS Advisor Custody & Trading (ACT)
  • Professional experience working in a fraud, compliance or risk environment of the financial services industry is a plus
  • Strong analytical, research and interpersonal skills
  • Proficiency in MS Office such as Excel, PowerPoint and Access
  • Strong attention to detail and documentation skills
  • Strong organizational and time management skills with ability to work on multiple assignments and complete them within established deadlines
  • Ability to prioritize effectively in a fast paced environment and function in a professional manner under pressure
  • Ability to identify and solve complex issues in a team environment working with various levels of management and business partners
  • Ability to adapt to changing business needs
  • Positive attitude, enthusiasm, professionalism, and strong work ethic with high level of integrity and ethics
  • Demonstrated Leadership ability

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 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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