At Schwab, you are 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.
The Control Team within Retail Supervision & Risk Management is an independent group responsible for providing delegated review of control and risk mitigation functions to Schwab’s Investor Services (retail) group. 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.
As an Individual Contributor, you will serve as the initial point of review for multiple control functions within the scope of the Retail Supervision & Risk Management team including, but not limited to, the review of electronic communications, social media, trades, client service gestures, enrollments, and other key controls. These reviews will be conducted in close partnership with other members of the Supervision team. Individual Contributors at the Manager level may also facilitate team or business partner meetings, identify coaching opportunities, and facilitate training. They will work in close partnership with the Team Manager(s) to provide additional support with reporting, quality assurance, or additional responsibilities as needed.
What you haveRequired Qualifications
Series 7, 66 (or 63/65), 9/10 or 8 (or 24/53/4)3 plus years of experience in supervision and regulatory mattersPreferred Qualifications
Undergraduate degree in Business, Accounting, Finance or related disciplineStrong industry acumen, self-starter and ability to work with minimal supervisionAbility to define problem areas and analyze risk to effectively supervise and mitigate riskMust work well under competing deadlines and possess strong organizational skillsExcellent oral and written communication skillsStrong knowledge in all Microsoft applications; Excel, Word and PowerPointAbility to strategize on approach to building or changing current processes and procedures and the utilization of resources to meet firm requirementsAbility to identify and report gaps in policy, procedure, and controls to leadership, while offering solutions for consideration and implementationAbility to act independently and make decisions in an ambiguous environmentMust be results driven and innovative while also collaborative and authentic. Should be disciplined in approach, accountable and able to influence others in an ambiguous environment. Options Apply for this jobApplyShareRefer a friendRefer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed Why work for us?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. Application FAQs
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