Manager, Centralized Risk Supervisor

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