Senior Manager, Fixed Income Risk and Supervision
Your Opportunity
Your opportunity
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 Centralized Risk Supervisor 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 with a focus on Advisory Services. This Centralized Risk Supervisor will play a key role in contributing to supervisory program reviews of electronic communications, fixed income product/service recommendations, trading activity, trend reporting and desktop procedures updates. This is an individual contributor role in which you’ll collaborate with business partners across the firm, building effective working relationships with various levels of WAS employees from client-facing representatives to Senior Leadership.
What you have
Required Qualifications:
- Bachelor’s degree or equivalent work experience
- Active and valid Series 7 license
- Active and valid Series 66 license, or equivalent
- Active and valid Series 9/10 license, or equivalent
Preferred Qualifications:
- 2-3 years’ supervision/compliance/regulatory experience
- Strong investment industry knowledge and understanding of compliance and regulatory requirements applicable to fixed income and annuity products and services
- Strong communication and relationship skills, including experience working with various levels of management
- Strong and demonstrated time management, analytical, and organization skills
- Working knowledge of standard industry rules and regulations
- Strong relationship management skills, including ability to develop collaborative working relationships and promote a risk-focused culture
What’s in it for you
At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. 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:
- Bachelor’s degree or equivalent work experience
- Active and valid Series 7 license
- Active and valid Series 66 license, or equivalent
- Active and valid Series 9/10 license, or equivalent
Preferred Qualifications:
- 2-3 years’ supervision/compliance/regulatory experience
- Strong investment industry knowledge and understanding of compliance and regulatory requirements applicable to fixed income and annuity products and services
- Strong communication and relationship skills, including experience working with various levels of management
- Strong and demonstrated time management, analytical, and organization skills
- Working knowledge of standard industry rules and regulations
- Strong relationship management skills, including ability to develop collaborative working relationships and promote a risk-focused culture
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.