Sr Ops Support Specialist II

Sr. Operations Support Specialist


Schwab Institutional | Client Service Solutions


 


Schwab Institutional, a division of Charles Schwab & Co., Inc. is the leading provider of custody, trading, technology and practice management to registered independent advisory firms.  It provides 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. 


Job Description


 


Job Description / Purpose


1.  Identifies and recommends solutions to complex issues impacting customer service, risk and/or controls. 2. Identifies and reports exceptions to policy and procedures. 3. Compiles data for review and identifies issues, findings and opportunities for improvement. 4. Excellent ability to use research and analytical skills to gather and interpret data and make recommendations. 5. Able to manage potential risk to the company by identifying potential regulatory and compliance issues, recommending appropriate solutions, and escalating as needed 6. Demonstrated ability to balance business, regulatory and customer perspectives. 7. Independently makes complex decisions while keeping management informed to ensure awareness. 8. Recognizes and regularly recommends process and communication improvements, training/coaching opportunities derived from thorough review of key data compiled through monitoring.


 


Brief Description of Role Needed


1.  Maintains comprehensive and current knowledge of SI's Service & Ops policies and procedures. 2. Maintains comprehensive and current knowledge of EOS guidelines and procedures. 3.Provides daily feedback of EOS Review, through the EOS Supervision Form, to the Service Team manager.  EOS Supervision form will outline the reports reviewed, date of the report and accounts reviewed on each report.  The EOS rep will print page one of every report to show the report name and date.  In addition, any findings will be documented in an email that will be attached to the EOS Form. EOS reviews will be provided to the Service Team Manager on a daily basis. 4. Maintains database of EOS findings for roll up to Department Director and VP.


 


Technical / Functional Qualifications Needed


Typically requires 5 years of experience in the securities, brokerage or financial services industry.  2.  Experience working with regulatory or risk issues.  3.  Strong organizational skill and ability to prioritize and coordinate multiple processes/projects.  4.  Knowledge of personal workstations/desktop applications, Schwab specific applications and development tools and or application testing. 5.  Series 8 (9/10) required.


 


Three Critical Success Factors for this Role


1.  Must be a self starter and able to work through processes with a minimum of supervision.  2.  Must possess strong "attention to detail" skills.  3.  Must be an effective time manager with strong multi-task abilities.


 


 



This position is located in Phoenix, AZ


 


 


 


 


 


 


 

Education: BA/BS