Sr. Manager - Supervision and Controls

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. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location(s).

 

Schwab’s Wealth Advisory, Banking & Trust Services organization is building an industry-leading wealth management experience that delivers for clients today while innovating for tomorrow. The Senior Manager, Centralized Risk Supervision will join the Wealth and Product Risk & Governance organization and provide critical oversight of activities performed by registered representatives.

This role applies product expertise, regulatory knowledge, and sound decision making to supervisory controls involving electronic communications, product and service recommendations, trading activity, and trend reporting. You will assess risk, identify patterns, and make timely decisions that protect clients and the firm.

 

Success requires strong collaboration across the organization, from service professionals to senior leaders. You will build trusted relationships, influence business partners, adapt to changing priorities, and balance strategic oversight with hands-on supervisory responsibilities in a fast-paced environment.

 

What you have

Required qualifications

• 5+ years of supervision experience, including annuity and product supervision
• Extensive knowledge of annuities, fixed income, and financial products
• Strong knowledge of compliance and regulatory requirements applicable to the brokerage and investment advisory industry
• Demonstrated Risk Assessment, Risk Monitoring, and Decision Making skills when reviewing registered representative activity
• Strong Communication, Influencing Others, and Building Collaborative Relationships skills across all levels of an organization
• Ability to manage competing priorities and make sound decisions under intensive deadlines
• Bachelor’s degree or equivalent work experience
• Active and valid Series 7, Series 63, and Series 8 or Series 9/10 licenses
• Active and valid Series 66 or Series 63/65 licenses
• State Life and Health Insurance License or ability to obtain the license as a condition of employment

Preferred qualifications

• Experience conducting reviews of electronic communications, product or service recommendations, trading activity, or supervisory trends
• Extensive Fixed Income expertise
• Demonstrated ability to operate effectively at both strategic and tactical levels
• Strong Problem Solving, Analytical Thinking, and Adaptability skills in a fast-paced supervisory environment
• Experience using reporting and trend information to identify risk and strengthen supervisory controls

In addition to the salary range, this role is eligible for bonus or incentive opportunities.