Advisor Risk Associate
Your Opportunity
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.
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:
- 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.
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.