Mergers & Acquisitions Specialist- Advisor Services

Your opportunity

The Mergers & Acquisitions Specialist will focus on providing support to the business on opportunities to maintain and grow the client’s business on the Schwab Platform. This support will be provided from a risk and regulatory perspective. The Specialist will also build templates and training programs to streamline core, complex processes and educate the business and clients. In addition, the Specialist will conduct due diligence reviews include reviewing Schwab company forms/agreements and disciplinary and financial history, maintenance of master and sub-accounts, partnering with various business units to research and resolve escalated cases, and conduct analysis to provide decision support for the AS Advisor Enrollment Mergers & Acquisitions Team while balancing risk and firm reputation.

What you’ll do:

• Assist in the growth of our business by supporting internal and external customers
• Support complex processes like mergers and firm asset sales
• Build forms, templates, checklists and guides to streamline targeted business processes
• Develop formal educational content to support a variety of business units, including Service and Sales
• Work with Legal and Compliance to balance risk with process efficiency and client experience
• 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 to evaluate downstream impacts, and provide guidance to those partners on complex situations
• Participate in special projects and perform other duties as assigned
• Exemplify the vision and values of Schwab

The role is notavailable as fully remote. Must live within reasonable commuting distance from the following Charles Schwab campus locations:

• Westlake, TX
• Lone Tree, CO
• Phoenix, AZ
• Orlando, FL
• Austin, TX

Subject to Schwab’s internal approach to workplace flexibility. Reports to the locations for Charles Schwab in:

What you have

Required Qualifications: 

• Bachelor’s degree or equivalent experience
• 2+ years of financial services industry experience (Brokeragepreferred) 
• Thorough understanding of the RIA industry
• Ability to build relationships and establish trust, respect, competence, and confidence with internal departments effectively and quickly
• Ability to communicate at all levels with clarity and precision, both written and verbally
• Strong research and analytical skills
• Microsoft Excel reporting and analysis skills
• Focused and versatile team player that is comfortable under pressure
• Excellent problem-solving and critical-thinking skills
• Strong attention to detail
• Ability to execute challenging conversations with internal partners and external clients
• Strong organizational skills with ability to work on multiple assignments and complete them within established deadlines
• Ability to prioritize effectively in a fast-paced environment and function in a professional manner under pressure
• Ability to identify and solve complex issues in a team environment working with various levels of management and business partners
• Positive attitude, enthusiasm, professionalism, and strong work ethic with high level of integrity and ethics

Required Qualifications: 

• FINRA Series 7 strongly preferred
• 2+ years professional experience working in a fraud, audit, compliance or risk environment in the financial services industry is a plus
• Thorough understanding and knowledge of the policies and procedures governing various departments within Advisor Services (AS), Advisor Custody & Trading (ACT)