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Senior Specialist, Supervision

2 months 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.

The Control group within Retail Supervision & Risk Management is an independent group responsible for providing delegated review of control and risk mitigation functions to Schwab's Investor Services (retail) group. 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 RSRM Senior Specialist plays a critical role in enhancing the control functions performed by the broader team and will serve as the initial point for review of multiple control functions within the scope of the RSRM team. In this role you'll partner closely with other members of our Supervision team to review electronic communication, social media, trades, client service gestures, enrollments, and other key controls.

What you have

Required Qualifications:

  • Active and valid Series 7 license
  • Active and valid Series 9/10 license
  • 2 - 4 years' experience in financial services

Preferred Qualifications:

  • Bachelor's degree
  • Active and valid Series 66 (63/65) license, or desire to obtain
  • Strong Microsoft Office product skills
  • Strong written and verbal communication skills, including the ability to escalate effectively
  • Self-starter: ability to work independently with a strong desire to learn and grow
  • Strong analytical skills: ability to identify emerging trends & conduct data and trending analysis
  • Ability to develop strong working relationships with peers and internal business partners
  • Ability to work in a fast-paced environment and make informed decisions using good judgment
  • Desire to increase overall business and financial services knowledge

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