Manager, Centralized Risk Supervisor
Your Opportunity
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.
Schwab’s Wealth and Advice Solutions (WAS) organization is building and delivering an industry-leading wealth management experience. WAS’ vision and mission is to make wealth management more accessible, delivering for clients today while innovating for tomorrow.
We are looking for a Supervisory Risk Manager within our Wealth Advice Solutions Risk & Governance (WAS R&G) organization to perform supervisory-related functions and controls based on the activities performed by registered representatives at Schwab. This individual will contribute to supervisory program reviews of electronic communications, product/service recommendations, trading activity, and trend reporting. The Supervisory Risk Manager will serve as a key support to our WAS Supervision Program by analyzing the effectiveness of supervisory policies, procedures, and processes; identifying, escalating and helping to address issues and potential trends; and by supporting various data and reporting needs to address supervisory risk. In this role you will have the opportunity to collaborate with business partners across the firm, building effective working relationships with various levels of WAS employees from client-facing representatives to Team Managers and Senior Leadership.
This is an individual contributor position.
What you have
Required Qualifications:
- 2+ years’ supervision/compliance/regulatory experience
- Bachelor’s degree or equivalent work experience
- Active and valid Series 7 & 66, or equivalent
Preferred Qualifications:
- Active Series 9/10 (or equivalent) preferred, may be a condition of employment
- Supervision and oversight skills with a working knowledge of industry standards and policies
- Strong communication and relationship skills, including experience working with various levels of management
- Strong and demonstrated time management, analytical, and organization skills
- The ability to work independently, with minimum guidance
- The ability to work on multiple projects and prioritize based on regulatory risk and business needs
- Highly effective organizational and time management skills
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 you are good at
What you have
Required Qualifications:
- 2+ years’ supervision/compliance/regulatory experience
- Bachelor’s degree or equivalent work experience
- Active and valid Series 7 & 66, or equivalent
Preferred Qualifications:
- Active Series 9/10 (or equivalent) preferred, may be a condition of employment
- Supervision and oversight skills with a working knowledge of industry standards and policies
- Strong communication and relationship skills, including experience working with various levels of management
- Strong and demonstrated time management, analytical, and organization skills
- The ability to work independently, with minimum guidance
- The ability to work on multiple projects and prioritize based on regulatory risk and business needs
- Highly effective organizational and time management skills
Why Schwab?
At Schwab, “Own Your Tomorrow” embodies everything we do! We are committed to helping our employees unleash their potential and achieve their dreams. Our employees get to play a central role in disrupting a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. We’re a modern financial services firm that stands apart from the industry, where you can go as far as your ambition takes you.
Hear from employees: What’s it like to work at Schwab!
The benefits of working at Schwab : a package designed to empower your health, wealth, career and life. Schwab is committed to building a diverse and inclusive workplace where everyone feels valued.
As an equal employment 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 to see policy.)
Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace. We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.