Senior Specialist, Business Unit Risk
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.
Advisor Services (AS) is the leading provider of custodial, trading, technology, and practice management to registered independent advisory firms. We have built our business on serving the needs of Registered Investment Advisors (RIAs) and advancing an industry that helps them and their clients thrive.
The Advisor Services Risk and Supervision Management (RSM) team’s purpose is to monitor and mitigate risk while providing AS with innovative services that support their growth. The Supervisory Principal Risk Review team under RSM ensures compliance with internal procedures requiring regulatory review.
We are looking for a self-starter who will perform comprehensive review of operational work in line with FINRA requirements. The professional will conduct due diligence review of received and processed work ensuring regulatory adherence and risk mitigation.
As a member of the Regulatory and Risk Review team, you will pursue our mission and values through:
Reviewing documentation to ensure that it is compliant to company procedures and the rules and regulations of the securities industry
Recognizing potential problems and high-risk scenarios and escalating them accordingly
Tracking industry regulations, company policies, and institutional products/services to effectively enforce compliance and manage risk
Ability to identify and solve complex issues in a team environment working with various levels of management and business partners
Ability to work independently and adapt to changing business needs
What you have
To ensure that we fulfill our promise of “challenging the status quo,” this role has specific qualifications that successful candidates should have.
Required Qualifications:
Bachelor’s degree or equivalent experience
3-5 years of financial services industry experience (brokerage preferred)
FINRA Series 7, 9/10 and 63 or 66 registrations required (or series 24 and 4)
Professional experience working in a fraud, compliance or risk environment of the financial services industry is a plus
Understanding of the Registered Investment Advisor (RIA) space
Excellent operational and organizational skills with the ability to manage transaction work, be self-directed and handle and process sophisticated work
Proficient in MS Office such as Outlook, Excel, and PowerPoint
Strong attention to detail and documentation skills
Detail oriented with strong organizational and time management skills
Positive attitude, enthusiasm, professionalism, and strong work ethic with high level of integrity and ethics
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