Licensed Team Lead, Operations Control
Your Opportunity
Your opportunity
At Schwab, you're empowered to make an impact on your career. Here, innovative thoughts meet creative problem solving, helping us "challenge the status quo" and transform the finance industry together.
We believe in the importance pf in-office collaboration and fully intend for the selected candidates for this role to work on site in the specified
Our ideal candidate will have a strong background in data science, statistical analysis, and reporting. You will be responsible for developing analytical solutions, building predictive models, and creating reports to help manage resource capacity for large-scale technology organizations.
The Customer Verification and Research Center (CVRC) within Operational Services is responsible for performing and executing the firms Customer Identification Program (CIP). We provide service to both retail investors and independent advisors.
What you'll do
The CVRC Hotline Team Lead position requires an effective leader who can help to motivate, inspire and develop a diverse team responsible for performing and executing on our Organization’s purpose and mission. Team leads are accountable for facilitating the team’s ability to deliver business results and creating a work environment that promotes employee engagement. This includes helping to provide the information, resources, feedback, coaching and recognition that help employees improve their performance. Team Leads are responsible for assisting in developing necessary process improvements, communications and effective working relationships that establish accountability and positively impact the team, and stakeholders. You will ensure “best in class” service for our branch partners, internal and external clients by:
- Effectively managing and coaching others, evaluating risk when reviewing verification of client's identity, risk-based investigative searches, fraud detection and ID theft prevention.
- Performing work that is detailed and communicated in a clear, effective manner.
- Actively listening, assessing client needs, researching information, and providing clients with innovative solutions.
- Responding to questions on a wide array of technical and operational subjects.
- Problem solving and conducting research/special requests through the use of email, telephone and our internal inquiry system.
- Receiving and effectively resolving escalations to the clients’ satisfaction and act quickly in a high-risk environment to mitigate risk to the firm.
- Proactively educating specialists, clients and internal partners on our products and services.
- Helping to drive business initiatives and results by developing strong partnerships.
- Demonstrating the ability to help lead others and to be a role model and mentor to your peers.
- Helping to foster teamwork in a diverse work environment.
- Identifies and recommends solutions to both basic and complex issues impacting Risk and/or Controls, handling escalated calls when warranted and resolving client issues by taking appropriate action quickly in a high-risk environment.
What you have
Required Qualifications
- 3+ years’ experience in brokerage/financial industry, with emphasis on customer service required.
- Bachelor’s degree or equivalent work experience.
- Series 7, 63, 9, & 10 or Condition of Employment required. Series 24 and 4 is also acceptable in place of the 9 and 10.
- Proficient technical skills, including knowledge of Microsoft applications.
- Flexible regarding both schedule and role as both may change with little notice in response to business demand.
- Passion for service and the desire to help and develop people.
- Strong interpersonal, verbal, and written communication skills.
- Excellent operational and follow-up skills with the ability to manage complex work. Demonstrate the ability to be self-directed, and quickly develop a full understanding of our business.
- Positive attitude, team oriented, enthusiastic, professional, forward thinker and strong work ethic.
- Ability to listen and to explain complex subjects in simpler terms.
- Intermediate to advance technical skills, with the ability to use multiple applications efficiently, including Windows, internet research, database systems, and email.
- Excellent operational and follow-up skills with the ability to manage complex work are self- directed, and quickly develop a full understanding of our business.
- Advanced level of knowledge regarding regulatory, audit and compliance policies regarding the securities industry is needed.
What’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
What you are good at
What you have
Required Qualifications
- 3+ years’ experience in brokerage/financial industry, with emphasis on customer service required.
- Bachelor’s degree or equivalent work experience.
- Series 7, 63, 9, & 10 or Condition of Employment required. Series 24 and 4 is also acceptable in place of the 9 and 10.
- Proficient technical skills, including knowledge of Microsoft applications.
- Flexible regarding both schedule and role as both may change with little notice in response to business demand.
- Passion for service and the desire to help and develop people.
- Strong interpersonal, verbal, and written communication skills.
- Excellent operational and follow-up skills with the ability to manage complex work. Demonstrate the ability to be self-directed, and quickly develop a full understanding of our business.
- Positive attitude, team oriented, enthusiastic, professional, forward thinker and strong work ethic.
- Ability to listen and to explain complex subjects in simpler terms.
- Intermediate to advance technical skills, with the ability to use multiple applications efficiently, including Windows, internet research, database systems, and email.
- Excellent operational and follow-up skills with the ability to manage complex work are self- directed, and quickly develop a full understanding of our business.
- Advanced level of knowledge regarding regulatory, audit and compliance policies regarding the securities industry is needed.
Why Schwab?
At Schwab, “Own Your Tomorrow” embodies everything we do! We are committed to helping our employees unleash their potential and achieve their dreams. Our employees get to play a central role in disrupting a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. We’re a modern financial services firm that stands apart from the industry, where you can go as far as your ambition takes you.
Hear from employees: What’s it like to work at Schwab!
The benefits of working at Schwab : a package designed to empower your health, wealth, career and life. Schwab is committed to building a diverse and inclusive workplace where everyone feels valued.
As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. (Please click here to see policy.)
Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace. We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.