Specialist, Trading Operations

About the Role

In this role, you will support trade settlement functions and ensure compliance with SEC and FINRA regulations. You will build strong relationships with investment advisors and facilitate a personalized approach to service.

Responsibilities

• Provide settlement services to Investment Advisors for trades executed away from Schwab.
• Ensure compliance with SEC / FINRA regulations.
• Maintain proper documentation for client accounts.
• Collaborate with various teams, including Settlement Operations and Advisor Services Sales.
• Enhance client experience and promote retention through quality service.

Requirements

• A minimum of 2 years of financial services industry experience.
• Knowledge of Settlement Operations and related trading processes.
• Excellent communication skills, both verbal and written.
• Strong organizational skills and ability to manage multiple tasks effectively.
• Ability to work collaboratively in a team environment.

Benefits

• 401(k) with company match
• Paid vacation and sabbatical after five years
• Paid parental leave and family building benefits
• Tuition reimbursement
• Health, dental, and vision insurance