Specialist, Supervision and Controls

Job Description

Your Opportunity

Supervision & Controls (S&C) is an independent group responsible for providing supervisory support through direct supervision, advancement, oversight, analysis and supervisory risk assessments, to Schwab’s Investor Services (retail) group. Supervision and Controls vision is to be a trusted independent partner of all Schwab partners 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.

S&C has an opportunity for the successful candidate in our Business Electronic Surveillance team to help support Investor Services initiative of providing social media, text and other tools to further advance our client’s goals. The role provides an opportunity to acquire additional FINRA licenses and progress within and across other S&C functions.

What you’re good at

The Supervisory Support Role is a critical role designed to enhance the supervisory reviews performed by the team. The Supervisory Support Specialist will serve as the initial point for communication with the public materials (email, correspondence) and emerging strategies (Social Media) and will segregate the items that require supervisory review.

The successful candidate will need to be a self-starter, work independently and have the ability to identify emerging trends, data and trending analysis. This person should have strong analytical skills and possess the aptitude to learn quickly and seize opportunities to increase their overall business and financial services knowledge. The candidate must possess the ability to develop strong working relationships with peers and internal business partners. The candidate will operate in a fast paced environment with the ability to make decisions based on sound judgment with information at hand.

What you have

Technical/Functional Required:

• Bachelor's degree required
• Strong written and verbal communication skills, including the ability to advance effectively
• Active and valid Series 7 required

Preferred skills:

• Thorough knowledge of brokerage/financial services industry
• Strong Microsoft Office product skills
• Positive attitude, enthusiasm, professionalism and strong work ethic with high level of integrity and ethics
• Shown passion for identifying and solving problems
• Prior financial services experience communicating with clients in writing
• Prior experience in complaint identification