Senior Manager, Centralized Risk Supervision

Requisition ID

2024-104356

Posted Date

2 days ago(10/8/2024 5:45 PM)

Category

Risk & Regulatory

Salary Range

USD $87800.00 - $195200.00 / Year

Application deadline

10/25/2024

Position Type

Full time

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 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 Centralized Risk Supervisor within the Retail Supervision and Risk Management organization will own the daily supervision of branch activities inclusive of trading, recommendations into offers, communications, operational and other approvals/reviews as needed. For recommendations into offers, you will ensure the enrollment and fees are suitable for the client. This person will work with business partners across the firm building effective working relationships with various levels of branch network employees from customer service to Regional Market Executive.

This is an Individual Contributor role reporting to the Director, Retail Supervision and Risk Management

Required Qualifications:

• Active and valid Series 7, 63, 8 (9/10) required
• Series 66 (63/65) required
• 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

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.

Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future.