Director, Sales Supervision

Your Opportunity

At Schwab, you’re empowered to make an impact—on clients, colleagues, and your career. Here, innovative thinking meets purposeful action as we work together to challenge the status quo and shape the future of financial services. You’ll be supported to grow, lead authentically, and contribute to a culture that values inclusion, collaboration, and continuous improvement.

The Sales Supervision team plays a vital role in supporting the Branch Network by helping ensure supervisory programs align with regulatory obligations and risk management standards. Within Retail Supervision & Risk Management, this role helps protect our clients and the firm while enabling business growth through thoughtful, effective supervision.

Reporting to the Retail Supervision & Risk Management Managing Director, the Director, Sales Supervision leads the evolution and execution of supervisory programs related to the activities of sales professionals across the Branch Network, Franchise Branch Network, and Specialty Teams. This leader partners closely with business leadership, Compliance, and Legal to support initiatives tied to products, services, and supervisory risk mitigation.

What You’ll Do

Lead Strategy and Execution

• Lead the design, implementation, and ongoing enhancement of supervisory programs aligned to regulatory expectations and business needs
• Assess changes in products, services, business practices, and the regulatory environment to inform supervisory standards and controls
• Identify connections across business lines to support consistent, effective supervision
• Apply judgment and risk-based thinking to guide supervisory decisions and priorities

Lead and Develop People

• Build, develop, and retain a high-performing team by fostering inclusion, psychological safety, and shared accountability
• Coach and mentor leaders and team members through regular feedback, development conversations, and career planning
• Set clear expectations and measurable goals aligned to both individual growth and organizational outcomes
• Encourage continuous learning and development of subject-matter expertise related to regulatory and supervisory risk

Collaborate and Influence

• Establish and sustain strong partnerships with business leaders and cross-functional stakeholders
• Consult with Compliance, Legal, and business partners on supervisory obligations, workflows, and risk considerations
• Communicate insights and recommendations clearly to diverse audiences, balancing risk awareness with business enablement

What you have

Required Qualifications

• 10 or more years of experience in supervision, compliance, or regulatory roles within financial services
• 5 or more years of people leadership experience, supporting teams with varying levels of seniority
• Active FINRA Series 7 and Series 66 licenses
• Active FINRA Series 9 and 10 licenses, or equivalent
• Demonstrated knowledge of Broker-Dealer and Investment Advisor business models, risks, and regulatory requirements
• Bachelor’s degree or equivalent practical experience

Preferred Qualifications

• Demonstrated ability to influence outcomes, manage ambiguity, and navigate complex stakeholder environments
• Strong analytical and critical-thinking skills, with the ability to balance strategy and execution
• Effective written and verbal communication skills, including the ability to translate complex topics into clear insights
• Experience managing multiple priorities in a fast-paced, evolving environment
• A people-first leadership approach that values collaboration, inclusion, and continuous improvement
• Experience modernizing or improving processes through creative, thoughtful problem-solving