Manager, Supervision & Controls
Your Opportunity
Your opportunity
At Schwab, you are 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.
The Control Team within Retail Supervision & Risk Management is an independent group responsible for providing delegated review of control and risk mitigation functions to Schwab’s Investor Services (retail) group. The vision is to be a trusted independent partner of all Schwab stakeholders, promoting business growth through effective risk management.
This role combines deep understanding of the Control Team’s scope of work with direct support for the team manager as an Individual Contributor. It is designed for individuals who want to strengthen technical supervisory expertise while gaining exposure to leadership responsibilities. The position offers opportunities for potential growth into future leadership roles through project ownership, mentoring, and strategic initiatives.
Key Responsibilities
Operational Excellence
- Execute, monitor, and develop reporting of core supervisory and control functions (e.g., communications supervision, trades, account changes) to ensure adherence to policy & procedure and provide support for audits, risk assessments, and management reviews.
- Identify and resolve gaps across various mediums (e.g., policies, procedures, training, alert logic) while providing recommendations for improvements to enhance efficiency and effectiveness, specifically including the usage of artificial intelligence (e.g., Microsoft Copilot).
- Analyze risk trends and develop supervisory tools, collaborating across business lines for consistency and adherence to evolving requirements.
Managerial Support & Leadership Development
- Support the team manager with oversight activities, including quality assurance, program metrics tracking, and workflow prioritization.
- Function as an escalation point, while assisting with coaching and timely issue resolution.
- Partner with leadership in strategic discussions (e.g., program readiness) and drive cross-enterprise initiatives, collaborating effectively with stakeholders at all levels.
- Facilitate team, partner, and one-on-one meetings, driving engagement, development, and readiness
What you have
Required Qualifications
- Series 7
- Series 9/10 or 8 (or 24/53/4)
- 3+ years of experience in supervision and regulatory compliance
Preferred Qualifications
- Series 66 (or 63/65) preferred, or desire to obtain
- Strong industry acumen, self-driven, and able to work independently in an ambiguous environment
- Skilled in multitasking, prioritization, problem-solving, and follow-up
- Ability to analyze risk, develop policies, and implement effective controls
- Excellent organizational, oral, and written communication skills
- Demonstrates accountability, influence in ambiguity, and collaborative approach
- Results-driven, innovative, and authentic
- Strong proficiency with Microsoft Copilot or other artificial intelligence programs
- Prior leadership/team management experience
- Undergraduate degree in Business, Accounting, Finance, or related discipline
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
- Series 7
- Series 9/10 or 8 (or 24/53/4)
- 3+ years of experience in supervision and regulatory compliance
Preferred Qualifications
- Series 66 (or 63/65) preferred, or desire to obtain
- Strong industry acumen, self-driven, and able to work independently in an ambiguous environment
- Skilled in multitasking, prioritization, problem-solving, and follow-up
- Ability to analyze risk, develop policies, and implement effective controls
- Excellent organizational, oral, and written communication skills
- Demonstrates accountability, influence in ambiguity, and collaborative approach
- Results-driven, innovative, and authentic
- Strong proficiency with Microsoft Copilot or other artificial intelligence programs
- Prior leadership/team management experience
- Undergraduate degree in Business, Accounting, Finance, or related discipline
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.