Senior Risk Management Supervisor
2 weeks ago
Your Opportunity
At Charles Schwab, you are empowered to shape your career. Here, innovative thinking meets creative problem-solving, enabling us to challenge the status quo and revolutionize the finance sector together.
The Wealth and Advice Solutions (WAS) division is dedicated to constructing and delivering a premier wealth management experience. Our vision and mission focus on enhancing accessibility to wealth management, ensuring we meet client needs today while innovating for the future.
Role Overview: Control Officer, Supervisory Officer
We are seeking a Centralized Risk Supervisor within our Wealth Advice Solutions Risk & Governance (WAS R&G) team to execute supervisory-related functions and controls based on the activities conducted by registered representatives at Schwab. In this capacity, you will have the opportunity to make a significant impact by contributing to supervisory program evaluations of electronic communications, product/service recommendations, trading activities, and trend analysis. As a vital business partner within the WAS division, the Centralized Risk Supervisor will cultivate strong relationships across the organization with various levels of WAS personnel, from client-facing representatives to Senior Leadership.
Qualifications
Required:
- Bachelor's degree or equivalent professional experience.
- Active and valid Series 7 & 66 licenses, or equivalent.
- Active and valid Series 9/10 licenses, or equivalent.
- 5+ years of supervisory, compliance, or regulatory experience.
- Robust knowledge of the investment industry and an understanding of compliance and regulatory requirements pertinent to alternative investment assets.
Preferred:
- Familiarity with standard industry regulations and guidelines.
- Exceptional communication abilities.
- Strong relationship management skills, with the capacity to foster collaborative working relationships and promote a risk-aware culture.
- Demonstrated time management, analytical, and organizational skills.
What We Offer
At Charles Schwab, we are dedicated to empowering our employees' personal and professional growth. Our purpose-driven, supportive culture, along with a focus on your development, ensures you have the resources needed to make a meaningful impact in the finance industry. Our Hybrid Work and Flexibility model balances our commitment to workplace flexibility, client service, and the importance of in-person collaboration.
We provide a competitive benefits package that supports your overall well-being, both now and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time off for vacation, volunteering, and a 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
Charles Schwab is an affirmative action employer, focused on employing and advancing in employment qualified women, racial and ethnic minorities, protected veterans, and individuals with disabilities in the workplace.
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