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 inclusive of trading, recommendations into offers, communications, operational and other approvals/reviews as needed. For recommendations into offers, you will ensure the enrollment and fees are suitable for the client. This person will work with business partners across the firm building effective working relationships with various levels of branch network employees from customer service to Regional Market Executive.
This is an Individual Contributor role reporting to the Senior Manager, Retail Supervision and Risk Management
What you have
Required Qualifications:
- Active and valid Series 7, 63, 8 (9/10) or equivalent
- 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:
- Series 66 (63/65)
- Strong communication, influencing, and relationship skills, including experience working with all levels of management
- Time 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 make decisions based on sound judgment, with information at hand
- Proven supervision and oversight skills displaying a track record of operating at both strategic and tactical levels
- Series 3 and 34 a plus
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
