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Centralized Supervision Sr. Team Manager - Planning amp Portfolio Group - Military veterans preferred

Company name
Charles Schwab & Co., Inc

Location
Lone Tree, CO

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\t\t Description: Lone Tree - CO, DENR1, 9800 Schwab Way, 80124Don Carlos Collins20180109-192We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client\u2019s 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 \u2018own your tomorrow\u2019 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 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:Business Empowerment & Risk Solutions (BEaRS) is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis and supervisory risk assessments, to Schwab\u2019s Investor Services (retail) group. BEaRS vision is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective and unbiased risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment.What you\u2019ll do:As a Policy Control Manager (PCM), you will lead a team of centralized supervisors with a focus on supporting Schwab Private Client Investment Advisor (SPCIA), a non-discretionary advisory service sponsored by Charles Schwab & Co., Inc. (CS&Co) This position will drive developments to the supervisory support we provide to the SPCIA organization.\u00a0 The PCM is also responsible for building the supervisory processes and tools required to identify, mitigate and manage supervisory issues in the business lines for which they have responsibility; therefore, the candidate will require equally impressive technical supervisory knowledge, analysis and reporting skills to be successful in the role.\u00a0 This is a complex role that requires a candidate with considerable industry and supervisory knowledge, excellent problem solving skills and who can handle multiple projects simultaneously. To be effective in this role, the PCM must be able to work with all levels within the Schwab organization to identify issues and work with our business partners to implement solutions that increase supervisory controls and streamline processes.Responsibilities include:
Provide leadership within and across teams/business as well as motivate and lead others
Managing and participating in cross enterprise projects
Establishing productive relationships with internal business partners
Interviewing business partners to gather data and to create new and/or update existing procedures
Accurately documenting changes to procedural documents and mitigating impacts surrounding procedural change and implementation
Perform risk assessments and facilitate discussions to implement procedural controls and supervisory processes.
Develop process improvements and efficiencies within BEaRS
Assisting with any other assigned duties

What you have:
Experience writing policies, procedures, training materials and other business procedure related documents
Outstanding written and verbal communication skills, time management and organizational skills
Excellent relationship management skills (negotiating, collaborating, influencing)
Interest in creating change through process improvements, training and streamlining functions
Intermediate knowledge of Microsoft Word, Excel, Outlook, Access, and PowerPoint
Ability to be a self-starter and work independently
Ability to adapt to changing business conditions
Ability to manage multiple projects in a fast paced, team environment
Demonstrated ability to prioritize business needs
Bachelor\u2019s degree required
Active and valid Series 7 is required
Active and valid Series 9/10 or 24 is required
Active and valid Series 65/66 referred (may be offered as a 90 day Condition of Employment)
Life and Health Insurance Licenses preferred

What you\u2019ll get:
Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions

Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts

Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer

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.Charles Schwab & Co., Inc. is an equal opportunity/affirmative action employer committed to diversifying its workforce. All applications are considered without regard to race, color, religion, sex, sexual orientation, national origin, age, disability, protected veteran status (disabled veterans, recently separated veterans, active duty wartime or campaign badge veterans, Armed Forces service medal veterans), or based on any individual's status in any group or class protected by applicable federal, state or local law.\u00a0 \t\t Job Specifications

Relocation Offered?:
No

Work Schedule:
Days

Languages:
English - spoken

Current Licenses / Certifications:
FINRA Series 66, FINRA Series 10, FINRA Series 7, FINRA Series 9

Relevant Work Experience:
Financial Services-6 yrs, Regulatory, Compliance

Position Located In:
AZ - Phoenix, CO - Lone Tree, TX - Westlake

Education:
BA/BS

Job Type:
Full Time

\t\t\t\t\t\t Category:Compliance/Legal/Regulatory \t\t Activation Date: Wednesday, January 10, 2018 \t\t Expiration Date: Thursday, March 1, 2018 \t\t Apply Here \t
See Job Description

Company info

Charles Schwab & Co., Inc
Website : https://www.schwab.com

Company Profile
The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC, offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products. Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Schwab. Independent investment advisors are not owned, affiliated with, or supervised by Schwab. Schwab Retirement Plan Services, Inc. and Schwab Retirement Plan Services Company provide recordkeeping and related services with respect to retirement plans. Charles Schwab received the highest numerical score in the J.D. Power 2016 Full Service Investor Satisfaction Study, based on 6,006 responses from 20 firms measuring opinions of investors who used full-service investment institutions and we are surveyed in January 2016. To arrive at the top 50 Most Admired Companies overall (our “All-Stars”), Korn Ferry Hay Group asked 4,000 executives, directors, and securities analysts who had responded to the industry surveys to select the 10 companies they admired most. They chose from a list made up of the companies that ranked in the top 25% in last year’s surveys, plus those that finished in the top 20% of their industry. Anyone could vote for any company in any industry. The difference in the voting rolls is why some results can seem anomalous. For example, St. Jude Medical ranks No. 40 on the overall Most Admired list, returning after a two-year hiatus. But within the medical products and equipment subgroup, St. Jude Medical, based on its peers’ responses, missed the “Industry Standouts” cut by ranking in the bottom half of the group. (0416-EXLH) 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.

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