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Risk & Control Analyst

Location Westlake, Texas, United States; Lone Tree,Colorado,United States;Chicago,Illinois,United States;Fishers (Indianapolis),Indiana,United States;Orlando,Florida,United States;Saint Louis,Missouri,United States;Austin,Texas,United States; Requisition ID 2022-87367 Category Risk & Regulatory Position Type Regular CO Salary Range 71,600-146,500
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Your Opportunity

Supervision and Controls is an independent group responsible for providing supervisory support through direct supervision, advancement, oversight, analysis and supervisory risk assessments, to Schwab’s Investor Services (retail) group. Supervision and Controls vision is to be a trusted independent partner of all Schwab partners that promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective and candid risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment.

Workplace Flexibility Program: We're proud to support our employees in a working approach that allows you to bring your best self to work – whether that’s in the office or remote.

  • Most Schwabbies have the opportunity to voluntarily work in the office or at home based on their preference*
  • When the firm is ready to fully return to the office, employees will have the flexibility of a hybrid work environment, spending some time working remote and some time in the office.
  • Employees and managers can discuss and decide what works best for them, with additional flexibility available based on their role, business needs, and individual circumstances.

*Subject to change as Schwab is continually evaluating the current environment in order to best care for the safety and well-being of our employees.

What you are good at

The Risk and Control Analyst for the Client Service and Support organization will review reporting outputs to identify trends, patterns and/or issues to support the supervisory oversight of a CS&S team or a registered representative. The Risk and Control Analyst will be responsible for completing portions of PBS for their assigned teams regarding sales practices, operational analysis and registered representative reviews. They will work in close partnership with the Risk and Supervision Officer and strive to improve supervisory outcomes by providing practical, consistent, effective and candid risk guidance that is grounded in a deep understanding of business goals and the regulatory environment. Work includes monthly and quarterly reviews of CS&S team activities. Secondary responsibilities will be to investigate activities, partner with the Support and Technology team to ensure reporting is effective and reviews are efficient and serve as subject matter authority in supervisory topics.

  • Performing data and risk analysis by synthesizing that information for follow up and reporting
  • Identifying, advancing and addressing issues, potential trends and outlier behaviors
  • Completion and reporting of monthly PBS assigned to their review
  • Provide ongoing feedback on reporting to assist with identification of sales practices issues and creation of efficiencies
  • Work in close partnership with the Risk and Supervision Officer to provide consistent, effective and objective risk guidance based on a deep understanding of regulatory and firm policy.
  • Developing and maintaining strong internal relationships with key partners: Compliance, Legal, Partner Support, NSD, CAT and others
  • Assisting in identifying, assessing, and recommending improvement to the core processes
  • Delivering outstanding business results

What you have

  • Minimum of 3 years of shown experience in a financial services—supervision and controls, service and operations, project management. Prior supervision and controls experience strongly preferred.
  • Full commitment and passion to serving the needs of franchisees, clients, employees, and shareholders
  • Familiarity with PBS execution and related supervisory resources; including but not limited to SASR, Salesforce, RFI, Smarsh and Insight
  • Advanced technical skills, including proficiency in MS Office and the ability to learn new programs
  • Preferred working knowledge of Schwab internal systems, tools, and resources; including but not limited to Client Central, Salesforce and IWIN
  • Ability to gain the respect, trust and support of leadership, partners and peers
  • Strong ability to multi-task, adhere to intensive target dates and easily adapt to change
  • Shown analytical skills with a level of attention to detail in order to adhere to policies, procedures and guidelines
  • Superior written and verbal communication skills, including being able to synthesize data, develop recommendations and influence partners
  • Ability to work with minimal oversight of day to day responsibilities
  • Active FINRA Series 7 & 63 (or 66) required /Active FINRA Series 8 (9/10) required

In addition to the salary range, this role is also eligible for bonus or incentive opportunities

Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.

Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further.

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal 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 the policy.

Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at or call 800-275-1281.

TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.

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