Manager, Advisor Custody and Trading - Trader Error Department
Company: Charles Schwab
Location: Gilbert
Posted on: March 16, 2023
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Job Description:
Position Type: Regular Your Opportunity 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 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. Schwab Advisor Services is the
leading provider of custodial, operational, and trading support for
independent, fee-based investment advisors. We---re looking for
individuals excited about helping advisors grow successful
businesses through a proactive service focused approach. What you
are good at The Advisor Services Trading --- Trade Error desk works
collaboratively with advisors, product desks, AS Service, and back
office operational groups to provide a variety of post execution
solutions to provide clients with an exceptional trading and record
keeping experience. We are currently hiring for one position for
our teams. The positions will be responsible for supporting the
Advisor Services trading desk in building lasting relationships
with investment advisors through the trade error process which
includes, but are not limited to, trade execution, allocations and
trade correction processes. This individual will work closely with
both clients and business partners including Sales, Settlement
Service, Operations, Equity/Options Trading, Mutual Fund Trading,
Margins, TAS and Registered Investment Advisors. Responsibilities
for the Trade Error team include, but not limited to: Provide risk
mitigation for multiple products and file trade errors for advisors
as needed Working collaboratively with other managers and
leadership in cross-departmental projects and initiatives Support
month end reporting of the firm---s books and records utilized by
AS Trading Provide statement and settlement reconciliation of
client trades executed at Schwab or for the benefit of clients that
custody assets at Schwab Effectively communicate and invoice
billable trade error items with advisors Perform consolidated
custom report generation of historical trade errors and metrics.
Reconciliation of inventory accounts Performing historical research
for clients associated with errors. Assisting team with company &
security research Building and maintaining relationships with
advisors Performing principal review and approval of trade
corrections associated with errors. Using multiple AS applications
for corrective actions and associated movements. We will consider
candidates at a Sr. Specialist or Manager level, depending on
experience and licensing. What you have For a Sr. Specialist or
Manager, a valid and active FINRA Series 7 and 63/6 licenses
(required) For a Sr. Specialist or Manager a valid and active FINRA
Series 9/10, or series 8 (preferred) with (COE) opportunity to
obtain within 12 months Bachelor---s degree(preferred) or
equivalent work experience 2-5 years--- experience in financial
services Exposure to working with Advisors and institutional
trading Solid computer skills are a must with good general
knowledge of balance, position, and transaction systems necessary.
Excellent written and oral communication skills, strong
organizational skills, attention to detail, and ability to
multitask are critical. Work well in a collaborative team
environment. Be able to deliver complex information while
maintaining a positive client experience . You demonstrate these
behaviors: Customer Orientation: Quickly and effectively solves
customer problems. Forward Thinking: Anticipates possible problems
and develops contingency plans in advance. Fostering Innovation:
Work cooperatively with others to produce innovative solutions.
Oral Communication: Organizes ideas clearly in oral speech.
Initiative: Identifies what needs to be done and takes action
before being asked or required to. Fostering Teamwork --- Team
Members: Seeks opportunities to work on teams as a means to develop
experience and knowledge. Building Collaborative Relationships:
Tries to build relationships with people whose assistance,
cooperation and support may be needed In addition to the salary
range, this role is also eligible for bonus or incentive
opportunities. Why work for us? Own Your Tomorrow embodies
everything we do We are committed to helping our employees ignite
their potential and achieve their dreams. Our employees get to play
a central role in reinventing a multi-trillion-dollar industry,
creating a better, more modern way to build and manage wealth.
Benefits: A competitive and flexible package designed to empower
you for today and tomorrow. We offer a competitive and flexible
package designed to help you make the most of your life at work and
at home---today and in the future. TD Ameritrade, a subsidiary of
Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade
we believe People Matter. We value diversity and believe that it
goes beyond all protected classes, thoughts, ideas, and
perspectives.
Keywords: Charles Schwab, Gilbert , Manager, Advisor Custody and Trading - Trader Error Department, Accounting, Auditing , Gilbert, Arizona
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