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 & Risk Management is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis, and supervisory risk assessments, to Schwab’s Investor Services (retail) group. Retail Supervision & Risk Management vision is to be a trusted independent partner of all Schwab customers 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.
Do you have significant supervision, compliance, and/or regulatory experience? Are you passionate about coaching and helping supervisors and risk managers develop or deepen the skills, knowledge, and judgment they need to be highly effective in their roles? The Senior Manager position will allow you to tap into your supervisor experience and deep regulatory or compliance background to lead the Retail Supervision Learning & Development Program. In this role you’ll conduct quality assurance reviews to inform coaching opportunities and training needs and will have the opportunity to develop training materials with relevant, up-to-date content that aligns with industry standards and regulatory expectations. This role is key in driving excellence, and the Senior Manager will recommend corrective actions including targeted coaching or training to address identified gaps or deficiencies.
What you haveRequired Qualifications
Bachelor’s degreeSeries 7 licenseSeries 9/10 or 24 license8-10+ years of supervision, compliance, audit, or regulatory risk management experience in financial services retail broker/dealer and/or Investment Advisory firmExperience developing and delivering training contentPreferred Qualifications
Strong knowledge of financial services broker-dealer and Investment Advisory industry standards, best practices, and rules/regulations, including FINRA Rule 3110, Regulation Best-Interest, and DOL PTEConfident public speaker and a devoted educator with a strong supervisory and/or regulatory audit/examiner background, training experience, and strong analytical and presentation skillsSuperb MS PowerPoint and presentation skillsExceptional written and verbal communication skills with the ability to communicate to audiences of varying levels of seniorityAbility to operate in a fast-paced environment and execute with speed without sacrificing qualityStrong analytical skills and ability to analyze data and information and draw robust conclusionsAbility to negotiate and influence outcomes without direct authority and push through roadblocks and dependenciesSelf-starter who operates independently, yet collaborativelyInnovative, positive attitude, proactive, professional, highly engaged, strong work ethic with high level of integrity and ethics 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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