Charles Schwab Sr. Specialist, Operations - Margins in Lone Tree, Colorado
Lone Tree - CO, DENR2, 9800 Schwab Way, 80124
James D Hapgood
We believe that , when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.
As a company, we were established by Chuck at http://www.aboutschwab.com/about/leadership/charles_schwab over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.
The Margin Services group protects the firm from risk exposure, oversees compliance with regulations outlined by both the firm and regulatory bodies, and accurately interprets regulations and communicates to customer’s firm policy with regard to regulatory requirements. Margin Services minimizes late payments and excessive regulatory extensions, and imposes trading restrictions on accounts for trade settlement violations. Within Margin Services, Advisor Services (AS) Margins serves as the point of contact for Investment Advisors, AS Trading and Support, Finance, Service, and Sales for all AS margin-related issues.
What you’ll do:
Resolve margin-related issues with internal employees and external Registered Investment Advisors
Monitor and resolve margin calls, resolution of debit balances and short positions
Interact on a daily basis with clients and colleagues including Sales, Finance, Trading, Settlement Service, Operations, Registered Investment Advisors and Contra Brokers/Banks
Explain and apply industry rules, regulations and policies in order to transfer information and resolve issues between Corporate Margins and our Registered Investment Advisors
Enforce regulations and restrictions as well as serve as a margin expert
What you have:
Basic margins operations experience
Solid knowledge of balance, position, and transaction systems necessary
Understanding of risk management, industry rules and regulations governing margin transactions
Strong organizational skills, attention to detail, and ability to multitask are critical
Proficient MS Office skills, including ability to analyze and present margin requirements and transactions via Excel
Ability to deliver complex information while maintaining a positive client experience
Excellent written and oral communication skills
Work well in a collaborative team environment
Excellent customer service skills
FINRA Series 7 license required FINRA Series 63 or FINRA 66 license required
FINRA Series 9/10 license, or FINRA series 8 license (preferred)
Bachelor’s degree or equivalent experience
You demonstrate these behaviors:
Customer Orientation: Quickly and effectively solves customer problems.
Flexibility: Demonstrates openness to new organizational structures, procedures, and technology.
Initiative: Identifies what needs to be done and takes action before being asked or required to, in addition to seeking out others involved in a situation to learn their perspectives.
Results Oriented: Has a strong sense of urgency about solving problems and getting work done.
Adaptability: Can effectively handle several problems or tasks at once.
What you’ll get:
Comprehensive Compensation and Benefits package
Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
Not just a job, but a career, with an opportunity to do the best work of your life
Learn more about Life@Schwab at http://www.aboutschwab.com/careers/lifeatschwab/" .
Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab's hiring decisions. All other submissions should be performed online.
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: FINRA Series 63, FINRA Series 7
Relevant Work Experience: Financial Services-6+ yrs, Financial Services-2-5 yrs, Risk Analysis
Position Located In: CO - Lone Tree
Job Type: Full Time
Category:Brokerage Operations & Trading
Activation Date: Monday, August 6, 2018
Expiration Date: Tuesday, August 28, 2018