Senior 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.
Retail Supervision and Risk Management is an independent group responsible for providing delegated review of control and risk mitigation functions to Schwab’s Investor Services. The vision of Retail Supervision & Risk Management is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective and unbiased risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment.
The Centralized Risk Supervisor within the Retail Supervision and Risk Management organization will own the daily supervision of branch activities which may include trading, incentive compensation, Reg BI, recommendations into offers, communications, operational and other approvals/reviews as needed. For potential incentive compensation reviews, you will ensure the adjustment meets all the required criteria and appropriate documentation for approval. This person may also work with business partners across the firm building effective working relationships with various levels of branch network employees from customer service to various leadership levels.
*This is an Individual Contributor role reporting into Sales Supervision Leadership, Retail Supervision and Risk Management.
What you have
Required Qualifications:
Active and valid Series 7
Active and valid Series 66 (63/65)
Active and valid Series 8 (9/10)
5+ years’ supervision experience
Bachelor’s degree or equivalent work experience
Strong knowledge and understanding of compliance and regulatory requirements applicable to
the brokerage/investment advisory industry
Preferred Qualifications:
Strong communication, influencing, and relationship skills, including experience working with all
levels of managementTime management, organization, and prioritization skills
The ability to work under intensive deadlines
The ability to influence others through the development of strong working relationships
The ability to operate in a fast-paced environment and have the ability to make decisions based
on sound judgment, with information at handProven supervision and oversight skills displaying a track record of operating at both strategic
and tactical levelsSeries 24 a plus
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:
Active and valid Series 7
Active and valid Series 66 (63/65)
Active and valid Series 8 (9/10)
5+ years’ supervision experience
Bachelor’s degree or equivalent work experience
Strong knowledge and understanding of compliance and regulatory requirements applicable to
the brokerage/investment advisory industry
Preferred Qualifications:
Strong communication, influencing, and relationship skills, including experience working with all
levels of managementTime management, organization, and prioritization skills
The ability to work under intensive deadlines
The ability to influence others through the development of strong working relationships
The ability to operate in a fast-paced environment and have the ability to make decisions based
on sound judgment, with information at handProven supervision and oversight skills displaying a track record of operating at both strategic
and tactical levelsSeries 24 a plus
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.