About this role
Pay range: USD $28.85 - $31.25 / Hour
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 customersConduct business with respect for sensitivity to risk matters and ability to act in a diplomatic way and build strong partnerships with internal business unitsBase business decisions on a sound analysis of riskUnderstand risk and be able to develop proper mitigation when appropriateEncourage appropriate escalation and resolution of risk issuesAct 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 situationsParticipate in special projects and performs other duties as assignedExemplify 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 skillsAbility 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 ethicsStrong organizational skills with ability to work on multiple assignments and complete them within established deadlines Preferred Qualifications:
Active FINRA Series 7Understanding 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 planPaid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positionsPaid parental leave and family building benefitsTuition reimbursementHealth, dental, and vision insurance