Mergers & Acquisitions Specialist- Advisor Services

Charles Schwab-posted 3 months ago

Remote • Westlake, TX

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

Resume

Match Score

Upload and Match ResumeTrack Jobs with Teal

The Mergers & Acquisitions Specialist will focus on providing support to the business on opportunities to maintain and grow the client's business on the Schwab Platform. This support will be provided from a risk and regulatory perspective. The Specialist will also build templates and training programs to streamline core, complex processes and educate the business and clients. In addition, the Specialist will conduct due diligence reviews including reviewing Schwab company forms/agreements and disciplinary and financial history, maintenance of master and sub-accounts, partnering with various business units to research and resolve escalated cases, and conduct analysis to provide decision support for the AS Advisor Enrollment Mergers & Acquisitions Team while balancing risk and firm reputation.

Assist in the growth of our business by supporting internal and external customers
Support complex processes like mergers and firm asset sales
Build forms, templates, checklists and guides to streamline targeted business processes
Develop formal educational content to support a variety of business units, including Service and Sales
Work with Legal and Compliance to balance risk with process efficiency and client experience
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 to evaluate downstream impacts, and provide guidance to those partners on complex situations
Participate in special projects and perform other duties as assigned
Exemplify the vision and values of Schwab

Bachelor's degree or equivalent experience
2+ years of financial services industry experience (Brokerage preferred)
Thorough understanding of the RIA industry
Ability to build relationships and establish trust, respect, competence, and confidence with internal departments effectively and quickly
Ability to communicate at all levels with clarity and precision, both written and verbally
Strong research and analytical skills
Microsoft Excel reporting and analysis skills
Focused and versatile team player that is comfortable under pressure
Excellent problem-solving and critical-thinking skills
Strong attention to detail
Ability to execute challenging conversations with internal partners and external clients
Strong organizational skills with ability to work on multiple assignments and complete them within established deadlines
Ability to prioritize effectively in a fast-paced environment and function in a professional manner under pressure
Ability to identify and solve complex issues in a team environment working with various levels of management and business partners
Positive attitude, enthusiasm, professionalism, and strong work ethic with high level of integrity and ethics

FINRA Series 7 strongly preferred
2+ years professional experience working in a fraud, audit, compliance or risk environment in the financial services industry is a plus
Thorough understanding and knowledge of the policies and procedures governing various departments within Advisor Services (AS), Advisor Custody & Trading (ACT)

Track Jobs with Teal

Job Search Resources

•

Resume Builder

•

Resume Examples

•

Cover Letter Examples

Mergers & Acquisitions Specialist- Advisor Services

Job Search Resources

Tools

Career Hubs

Guides

Company