Advisor Risk Associate

Your opportunity

The Advisor Risk Associate will focus on conducting due diligence reviews for RIAs and investment advisors that custody business with Schwab. The due diligence reviews include reviewing Schwab company forms/agreements and disciplinary and financial history, opening and maintenance of master and sub-accounts, partnering with various business units to research and resolve escalated cases, and providing decision support for the AS Advisor Risk team while balancing risk and firm reputation.  This role will support the most complex due diligence responsibilities.

What you’ll do:

• Assist in the growth of our business by supporting internal and external customers
• Conduct business with respect for sensitivity to risk matters and ability to act in a diplomatic way and build strong partnerships with internal business units
• Base business decisions on a sound analysis of risk
• Understand risk and be able to develop proper mitigation when appropriate
• Encourage appropriate escalation and resolution of risk issues
• Act in the best interest of customers, company, and shareholders.
• Partner with internal departments such to evaluate risk and provide guidance to internal partners on complex situations
• Participate in special projects and performs other duties as assigned
• Exemplify the vision and values of Schwab

What you have

Required Qualifications:

• Bachelor’s degree 
• 2 years of financial services industry experience (brokerage preferred)
• Experience in either Advisor Services, Operations or Risk
• Strong attention to detail, research, analytical, and critical-thinking skills
• Ability to build relationships using respect, competence and confidence and establish trust with internal departments effectively
• Ability to communicate at all levels with clarity and precision, both written and verbally
• Proficiency with Microsoft suite of applications (Word, Excel, PowerPoint, Outlook, and Teams)
• Positive attitude, enthusiasm, professionalism, and strong work ethic with high level of integrity and ethics
• Strong organizational skills with ability to work on multiple assignments and complete them within established deadlines

Preferred Qualifications:

• Active FINRA Series 7
• Understanding and knowledge of the RIA industry

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