Specialist, Brokerage Service Representative – 401k and HSA at Charles Schwab

Your opportunity

At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.

Personal Choice Investment Services (PCIS) Participant Services works directly with Self-Directed Brokerage Accounts for retirement plans and health savings accounts. These are optional brokerage trading accounts that are established by plan participants within an employer-sponsored retirement plan (401K, 403B, etc.) to increase their investment choices within the plan.

The Participant Group Specialist will directly interact with a variety of clients including plan participants, trustees, Third-Party Administrators (TPAs), and advisors, through inbound and outbound calls, emails, chat, and letters. This position is responsible for answering all client service and trading inquiries, as well as complex transactions and issue resolutions, often including interaction directly with Clearing or Advisor Services. The position is also responsible for mitigating risk through tailoring specific information to different layers of contacts associated with plans, maintaining knowledge from across multiple business divisions, and performing some analyst functions such as credit risk, quality assurance, and other projects. The individual will also act as an advocate of Charles Schwab and PCIS by recognizing prospects, describing the Self-Directed Plan Service products, and may include a referral to any of the Sales groups as requested. This position requires the ability to consistently perform to a high-level performance and quality goals set by management based on the needs and expectations of our Corporate clients and plan providers. This unique position requires proficiency at handling standard retail, clearing, trust, and (Retirement Business Services) RBS issues, as well as knowledge of retirement plans and specialized PCIS information. In addition, the Specialist must be able to multitask and work on several different assignments simultaneously and have the flexibility to shift tasks or assist other areas of RBS as needed.

Key responsibilities include:

• Provide World Class client service via phone, email, and chat, while establishing and cultivating relationships
• Process service inquiries as well as equity, ETF, option, and mutual fund transactions.
• Adhere to all company policies and procedures.
• Contact Participants/Advisors/Trustees by phone or email to resolve Back Office issues
• Process and create applicable cases through various workflows.
• Mitigate risk including following all trading policies and procedures and escalating appropriately to management.
• System cleanup projects
• Call out campaigns.
• Attend and participate in Team Meetings and Huddles
• Miscellaneous tasks as assigned by management.

What you have

To ensure that we fulfill our promise of “challenging the status quo,” this role has specific qualifications that successful candidates should have.

Required Qualifications

• Active series 7 & 63/66 licenses are required (may be obtained under a condition of employment - within 6 months)
• Outstanding communication, listening and analytical skills
• Possess a sense of urgency and commitment to provide the highest level of service to Schwab clients.
• Ability to recognize client's needs quickly and respond to those needs in a courteous and professional manner
• Ability to accurately determine client needs and achieve problem resolution
• Recognizes opportunities for improvement and recommends changes in current processes or procedures to enhance personal and organizational effectiveness and efficiency
• Capable of maintaining a professional attitude and exhibiting emotional intelligence
• Knowledge of the securities industry
• Strong Technical skill with the ability to quickly assimilate and understand the systems used throughout the company
• Proficient typing skills and using Schwab Systems.
• Capable of handling an ever-changing environment
• Adept at teamwork across multiple locations

Preferred Qualifications

• Six months Client Service experience
• Three to six months Trading experience

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