Description

Your Opportunity

At Schwab, you're empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us " challenge the status quo " and transform the finance industry together.

We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location.

Trading Operations is the leading provider of custodial, trading, technology and practice management to registered independent advisory firms. We provide 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.

We provide dedicated service to these advisory firms. The focus is on building relationships and a more personalized approach to service. They build strong rapport with Investment Advisors, know them on a first name basis and provide that one-on-one service that Schwab is known for.

The Team provides a wide range of phone-based service and support to institutional clients (independent investment advisory firms) to enhance the client experience and increase client loyalty. We work with peers, client, and business partners to mitigate risk and ensure timely settlement booking trades. Our group researches and responds to client issues related to trades executed away from Schwab. We promote client retention and identify opportunities to expand existing relationships through service quality, delivery of timely and accurate information in response to inquiries and/or service issues, and services, and recommending service or process enhancements.

What you'll do:

• The Trade Away Service (TAS) representative will provide settlement services to Investment Advisors who maintain multiple trading relationships for client accounts held within our firm. Representatives in this position will support trade settlement functions with Investment Advisors who execute trades away from Schwab
• Ensure compliance of SEC /FINRA regulations
• Ensure proper documentation for client accounts and clearing broker/dealer firms
• Key working relationships include Settlement Operations, Advisor Service Teams, Trading Desks and Advisor Services Sales

What you have

To ensure that we fulfill our promise of " challenging the status quo " this role has specific qualifications that successful candidates should have.

Required Qualifications:

• 2 or more years of financial services industry experience
• A working knowledge of Settlement Operations, with street side experience is a plus, including knowledge of DTC, foreign, government, physical delivery, and restricted securities
• Knowledge of DVP trading: Prime Broker, Client to Client, Step Out, CMTA and Broker to Broker is also helpful
• Strong customer contact skills, along with excellent interpersonal, verbal, and written communication skills
• MS Excel and MS Word skills a plus
• Strong organizational skills and ability to multi-task are critical
• Must work well in a collaborative team environment, including cross locations

Preferred Qualifications:

• Bachelor's degree or equivalent experience is preferred
• FINRA Series 7 & 63 is preferred (or have a strong desire to obtain your licenses-materials provided)

In addition to the salary range, this role is eligible for bonus or incentive opportunities.



Requisition #: 2026-121868

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Requirements

2026-121868