Centralized Risk Supervisor
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.
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.
Schwab’s Wealth Advisory, Banking & Trust Services (WABT) organization is building and delivering an industry-leading wealth management experience. WABT’s vision and mission is to make wealth management more accessible, delivering for clients today while innovating for tomorrow.
What you’ll do: Control Officer, Supervisory Officer
We are looking for a Centralized Risk Supervisor – Senior Manager within our Wealth and Product Risk & Governance (WP R&G) organization to perform supervisory-related functions and controls based on the activities performed by registered representatives at Schwab. Role responsibilities may include contributing to supervisory program reviews of electronic communications, product/service recommendations, trading activity, and trend reporting. The Centralized Risk Supervisor must possess the skills necessary to work with business partners across the firm; building effective working relationships with various levels of WABT employees from client-facing representatives
What you have
- 5+ years’ supervision/compliance/regulatory experience
- Strong investment industry knowledge and understanding of compliance and regulatory requirements applicable to advisory, financial planning, and fixed income products and services
- Strong communication and relationship skills, including experience working with various levels of management
- Strong and demonstrated time management, analytical, and organization skills
- Bachelor’s degree or equivalent work experience
- Active and valid Series 7 & 66, or equivalent
- Active and valid Series 9/10, or equivalent
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