Senior Manager, Risk and Supervision

1 month ago

Orlando, Florida, United States Charles Schwab & Co, Inc Full time
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 Risk and Supervision Officer functions as an extension of the business leadership team, while operating independently, or with minimum guidance, in supporting the firm's business objectives. While proactively mitigating risk, the RSO identifies areas of concern and handles day-to-day issues as they arise from the field and partners with a focus on business ethics and regulatory and compliance practices. The RSO works closely with business leadership and Risk & Supervision leadership on the communication, integration and implementation of supervisory initiatives and provides coaching and guidance to the field and business partners on policies and procedures in a way that promotes risk awareness and a strong culture of compliance.

This is an Individual Contributor role reporting to the Director, Retail Supervision and Risk Management.

What you have

Required Qualifications:

  • Series 7, 66 (or 63/65), 9/10 or 8 (or 24/53/4)
  • 5-7 years' experience in supervision and regulatory matters
  • Industry acumen

Preferred Qualifications:

  • Undergraduate degree in Business, Accounting, Finance or related discipline
  • Prior leadership/team management experience
  • Strong knowledge in all Microsoft applications; Excel, Word and PowerPoint
  • Self-starter and ability to work with minimal supervision
  • Ability to multi-task, prioritize, problem-solve, trouble shoot, and follow-up
  • Ability to define problem areas and analyze risk, develop policy, procedures and controls to effectively supervise and mitigate risk
  • Track record of working well under competing deadlines
  • Strong organizational skills
  • Excellent oral and written communication skills
  • Must be results driven and innovative while also collaborative and authentic
  • Should be disciplined in approach, accountable and able to influence others in a sometimes ambiguous environment

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

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