Senior Manager, Centralized Risk Supervisor

Westlake, TX ; Orlando, FL ; Phoenix, AZ

Requisition ID

Category Risk & Regulatory

Position type Regular

Pay range USD $100, $145,000.00 / Year

Application deadline

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 ing 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 Centralized Risk Supervisor within the Retail Supervision and Risk Management organization will own the daily supervision of branch activities which may include trading, incentive compensation, Reg BI, recommendations into offers, communications, operational and other approvals/reviews as needed. For potential incentive compensation reviews, you will ensure the adjustment meets all the required criteria and appropriate documentation for approval. This person may also work with business partners across the firm building effective working relationships with various levels of branch network employees from customer service to various leadership levels.

• This is an Individual Contributor role reporting into Sales Supervision Leadership, Retail Supervision and Risk Management.

What you have

Required Qualifications:

• Active and valid Series 7
• Active and valid Series 66 (63/65)
• Active and valid Series 8 (9/10)
• 5+ years' supervision experience
• Bachelor's degree or equivalent work experience
• Strong knowledge and understanding of compliance and regulatory requirements applicable to
  
  the brokerage/investment advisory industry

Preferred Qualifications:

• Strong communication, influencing, and relationship skills, including experience working with all
  
  levels of management
• Time management, organization, and prioritization skills
• The ability to work under intensive deadlines
• The ability to influence others through the development of strong working relationships
• The ability to operate in a fast-paced environment and have the ability to make decisions based
  
  on sound judgment, with information at hand
• Proven supervision and oversight skills displaying a track record of operating at both strategic
  
  and tactical levels
• Series 24 a plus

What's in it for you

At Schwab, you're empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. 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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Eligible Schwabbies receive

Medical, dental and vision benefits

401(k) and employee stock purchase plans

Tuition reimbursement to keep developing your career

Paid parental leave and adoption/family building benefits

Sabbatical leave available after five years of employment