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Senior Risk Management Supervisor
2 months ago
Your Opportunity
At Charles Schwab, you are empowered to influence your career trajectory. Here, innovative thinking meets creative problem-solving, enabling us to challenge the status quo and reshape the finance sector collaboratively.
The Wealth and Advice Solutions (WAS) division is dedicated to constructing and providing a premier wealth management experience. Our vision and mission focus on enhancing accessibility in 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) division 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.
- In-depth knowledge of the investment industry and understanding of compliance and regulatory requirements related to alternative investment assets.
Preferred:
- Familiarity with standard industry regulations and guidelines.
- Exceptional communication skills.
- Strong relationship management abilities, including 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 our focus on your development, ensures you have the resources needed to make a meaningful impact in the finance industry. Our hybrid work and flexibility approach balances our commitment to workplace adaptability, serving our clients, and our strong belief in the importance of in-person collaboration.
We provide a competitive benefits package that addresses your holistic needs, 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 five 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, committed to employing and advancing qualified women, racial and ethnic minorities, protected veterans, and individuals with disabilities in the workplace.
