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 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.

Our Opportunity:

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" .

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.

Job Specifications

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

Education: BA/BS

Job Type: Full Time

Category:Brokerage Operations & Trading

Activation Date: Monday, August 6, 2018

Expiration Date: Tuesday, August 28, 2018

Apply Here