Advisor Risk Associate

** 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's in it for you:

At Schwab, we're committed to empowering our employees' personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you'll get the tools you need to make a positive difference in the finance industry. 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

Schwab is an affirmative action employer, focused on employing and advancing in employment, qualified women, racial and ethnic minorities, protected veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at appl or call .