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Senior Manager, Centralized Risk Supervisor

Location Westlake, Texas, United States; Indianapolis,Indiana,United States;Lone Tree,Colorado,United States;Orlando,Florida,United States; Requisition ID 2023-90518 Category Risk & Regulatory Position Type Regular Salary Range USD $87,800 - $195,200 / Year
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Your Opportunity

The Control group within Supervision & Controls is an independent group responsible for providing delegated review of control and risk mitigation functions to Schwab’s Investor Services. The vision of Supervision & Controls 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.

We are looking for a Centralized Risk Supervisor within the Supervision and Controls organization. Work includes daily supervision of branch activities, fixed income and annuities inclusive of trading, communications, operational and other approvals/reviews as needed.

This is an Individual Contributor role reporting to the Senior Team Manager, Supervision & Controls.

What you are good at

The Centralized Supervisor must possess the skills necessary to work with business partners across the firm; build effective working relationships with various levels of fixed income employees from customer service to team managers and senior leaders. Candidate should possess extensive knowledge of Schwab’s business model, fixed income, annuities,  and other Schwab products. The ideal candidate will have proven supervision and oversight skills displaying a track record of operating at both strategic and tactical levels. 

Candidate must possess the ability to influence others through the development of strong working relationships. The candidate will operate in a fast-paced environment and have the ability to make decisions based on sound judgment, with information at hand.

What you have

  • Bachelor’s degree or equivalent work experience 
  • 5+ years’ supervision experience
  • Strong communication, influencing, and relationship skills, including experience working with all levels of management
  • Strong knowledge and understanding of compliance and regulatory requirements applicable to the brokerage/investment advisory industry
  • Time management, organization, and prioritization skills
  • The ability to work under intensive deadlines
  • Active and valid Series 7, 63, 9 & 10 (or equivalent) required
  • Series 66 (63/65) required
  • State Life and Health Insurance License (may be offered as COE)

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.

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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