Senior Specialist, Retail Supervision and Risk Management

Your Opportunity

Schwab remains committed to providing increased visibility to career growth opportunities and job requirements. This posting announcement is part of increased transparency and while all qualified applicants will be reviewed and considered, this organization has a preferred candidate identified for this role. 

The Control group 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.

What you’ll do:

The RSRM Senior Specialist is responsible for performing critical roles designed to enhance the control functions performed by our team. The Senior Specialist will serve as the initial point for review of multiple control functions within the scope of the Retail Supervision & Risk Management team. This includes review of electronic communication, social media, trades, client service gestures, enrollments, and other key controls. These reviews will be conducted in close partnership with other members of our Supervision team.

The successful candidate will need to be a self-starter, be able to work independently and possess a strong desire to learn and grow. Additionally, the candidate will need the ability to identify emerging trends, and conduct data and trending analysis. This person should have strong analytical skills and possess the aptitude to learn quickly and a desire to seize opportunities to increase their overall business and financial services knowledge. The candidate must possess the ability to develop strong working relationships with peers and internal business partners. The candidate will operate in a fast paced environment with the ability to make decisions based on sound judgment with information at hand.

What you have

Technical/Functional Required:

• Active and valid Series 7 and Series 9/10 required
• Strong written and verbal communication skills, including the ability to escalate effectively
• 2 - 4 years’ experience in financial services
• Working knowledge of AI tools and applications in a business environment

Preferred skills:

• Bachelor's degree preferred

• Active and valid Series 66 license or willingness to obtain
• Active and valid Series 24 license or willingness to obtain
• Demonstrated experience using AI tools in a professional setting, including applying and validating outputs to support business processes
• Strong Microsoft Office product skills