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Charles Schwab Senior Team Manager, Branch Supervision in Lone Tree, Colorado

Your Opportunity

The Independent Branch Supervision Team Manager is responsible for leading and developing a staff of subject matter experts in addition to coordinating and strategically executing

the oversight functions of the team. This position will also include responsibility for leading special initiatives as defined by leadership and collaborating with employees at all levels throughout the firm.

What you are good at

  • Has, at a minimum, one direct report.

  • Responsible for hiring, training and inspiring staff. Provides ongoing support, coaching, feedback and development opportunities to address staff needs in order to engage them and help them to be more effective and set them up for success.

  • Understands the tactical responsibilities of those who report to them, including use of the tools and understanding of the associated risks, needed to perform the role

  • The Manager will facilitate staff meetings, one-on-one meetings in addition to goal setting and conducting employee evaluations including quality control oversight of the work product and completion of PBS.

  • Manage escalations in a way that maintains positive relationships with various business partners, leadership and within the field

  • Leads by working effectively across business lines to better allow for consistencies, risk identification and in an effort to move work forward

  • The Team Manager ensures the staff adheres to service level agreements and must analyze, coordinate and define risk in the scope of impending rule changes, business model needs and be comfortable utilizing a risk based approach.

  • The role will require the ability to strategize on approach to building or changing current processes and procedures and the utilization of resources to meet firm requirements.

  • Through management of volume data works to identify risk, inefficiencies, training needs and coaching opportunities.

  • Must possess the ability to interpret regulations to apply oversight to new products in an attempt to mitigate risk and protect the firm.

  • Be able to identify and report gaps in policy, procedure and controls to leadership, while offering solutions for consideration and implementation.

  • Monitors and keeps up-to-date with securities/advisory regulations and apply them accordingly.

  • Be able to act independently and make independent decisions in an ambiguous environment

What you have

Required Qualifications:

  • Must be results driven and innovative while also collaborative and authentic . Should be disciplined in their approach, accountable and able to influence others in a sometimes ambiguous environment.

  • Undergraduate degree in Business, Accounting, Finance or related discipline

  • Series 7, 66 (or 63/65), 9/10 or 8 (or 24/53/4)

  • 5 plus years of experience in supervision and regulatory matters

  • Prior leadership/team management experience

  • Strong industry acumen, self-starter and ability to work with minimal supervision

  • Ability to multi-task, prioritize, problem-solve, troubleshoot and follow-up are essential

  • Ability to define problem areas and analyze risk, develop policy, procedures and controls to effectively supervise and mitigate risk

  • Must work well under competing deadlines and possess strong organizational skills

  • Excellent oral and written communication skills

  • Strong knowledge in all Microsoft applications; Excel, Word and PowerPoint

Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.

Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further (https://content.schwab.com/web/retail/public/about-schwab/charles_schwab_recruitment_guide_2020.pdf) .

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal 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 (https://www.aboutschwab.com/EEO) to see the policy.

Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, 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 applicantaccessibility@schwab.com or call 800-275-1281 (tel:800-275-1281) .

TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.

Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further (https://content.schwab.com/web/retail/public/about-schwab/charlesschwabrecruitmentguide2020.pdf). Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal 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 (https://www.aboutschwab.com/EEO) to see the policy. Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, 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 applicantaccessibility@schwab.com or call 800-275-1281. TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.

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