Location
Westlake
Job Type
Full-time
Posted
July 04, 2026
Job Description
**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 mitigatio...
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 mitigatio...