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Senior Manager, Centralized Risk Supervisor
3 months ago
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.
Schwab's Wealth and Advice Solutions (WAS) organization is building and delivering an industry-leading wealth management experience. WAS' vision and mission is to make wealth management more accessible, delivering for clients today while innovating for tomorrow.
Control Officer, Supervisory Officer
We are looking for a Centralized Risk Supervisor within our Wealth Advice Solutions Risk & Governance (WAS R&G) organization to perform supervisory-related functions and controls based on the activities performed by registered representatives at Schwab. In this role you will be able to make a broad impact by contributing to supervisory program reviews of electronic communications, product/service recommendations, trading activity, and trend reporting. As a key business partner within the WAS organization, the Centralized Risk Supervisor will build strong relationships across the firm with various levels of WAS employees from client-facing representatives to Senior Leadership.
What you have
Required Qualifications
- Bachelor's degree or equivalent work experience.
- Active and valid Series 7 & 66, or equivalent.
- Active and valid Series 9/10 or equivalent.
- 5+ years' supervision/compliance/regulatory experience.
- Strong investment industry knowledge and understanding of compliance and regulatory requirements applicable to alternative investment assets.
- Working knowledge of standard industry rules and regulations.
- Excellent communication skills.
- Strong relationship management skills, including ability to develop collaborative working relationships and promote a risk-focused culture.
- Strong and demonstrated time management, analytical, and organization skills.
