Charles Schwab

Centralized Risk Supervisor

Charles Schwab • $90K — $120K *
Austin, TX 78745In-Person
Finance & Insurance
5 - 7 years of experience
1 week ago
Job Overview by Ladders

Qualifications

  • 5+ years of supervisory, compliance, or regulatory experience in financial services
  • Active FINRA Series 7 and 66 (or equivalent) licenses
  • Active FINRA Series 9/10 (or equivalent) licenses
  • Strong understanding of investment products, advisory solutions, and financial planning
  • Thorough knowledge of regulatory requirements for registered representatives
  • Proven analytical skills in identifying risks and making decisions
  • Excellent communication and relationship management capabilities
  • Strong organizational skills to handle multiple priorities.

Responsibilities

  • Evaluate and guide supervisory programs related to electronic communications and trading activities
  • Oversee risk trend analysis to inform supervisory processes
  • Collaborate with key stakeholders from front-line representatives to senior leadership
  • Ensure compliance with regulatory frameworks in client-facing interactions
  • Apply sound judgment to address complex supervisory situations
  • Enhance supervisory programs through monitoring and testing
  • Communicate insights and influence partners for risk mitigation.

Benefits

  • Opportunity to work in an innovative wealth management environment
  • Collaborative culture with strong emphasis on team relationships
  • Engagement in continuous improvement of supervisory processes
  • Focus on risk awareness and client protection
  • Support for professional growth and compliance-driven culture.
Full Job Description
Your Opportunity

Schwab’s Wealth & Advice organization is building and delivering an industry-leading wealth management experience, focused on making advice more accessible while continuously innovating for the future. Within this environment, the Senior Manager, Centralized Risk Supervisor plays a critical role in strengthening a proactive, risk-aware culture by overseeing supervisory activities tied to registered representative conduct and client-facing interactions.

 

In this role, you will evaluate and guide supervisory programs across key areas such as electronic communications, product and service recommendations, trading activity, and risk trend analysis. Your work directly contributes to protecting clients, ensuring regulatory alignment, and enabling the business to make informed, risk-based decisions. You will partner closely with stakeholders across business and risk functions, building strong, collaborative relationships from front-line representatives to senior leadership. Success in this role requires the ability to interpret regulatory frameworks, apply sound judgment in complex situations, and identify patterns or emerging risks that inform continuous improvement of supervisory processes.

 

You will bring a solutions-oriented mindset to evolving business needs, balancing risk mitigation with business enablement. Your ability to communicate insights clearly, influence partners, and adapt within a dynamic regulatory landscape will be essential in driving outcomes that support both client protection and organizational growth.

What you have

Required Qualifications:

  • 5+ years of experience in supervision, compliance, or regulatory roles within the financial services industry
  • Active and valid FINRA Series 7 and 66 (or equivalent)
  • Active and valid FINRA Series 9/10 (or equivalent)
  • Strong knowledge of investment products and services, including advisory solutions, financial planning, and fixed income
  • Demonstrated understanding of regulatory requirements and supervisory expectations impacting registered representatives
  • Proven ability to analyze complex situations, identify risks, and apply sound judgment to drive appropriate outcomes
  • Strong communication and relationship management skills, with the ability to collaborate effectively across multiple levels of the organization
  • Excellent organizational, analytical, and time management skills with the ability to manage competing priorities

Preferred Qualifications:

  • Bachelor’s degree or equivalent experience
  • Experience contributing to or enhancing supervisory programs, including monitoring, testing, or controls development
  • Ability to identify trends and translate insights into actionable recommendations that improve risk management practices
  • Experience influencing business partners and promoting a risk-focused, compliance-driven culture across diverse teams

About Charles Schwab

Charles Schwab is a financial services company that provides a full range of securities, brokerage, banking, money management, financial advisory, investor, and retirement plan services. It operates in four main divisions; investing, wealth management, banking, and trading. Charles Schwab provides a full-service brokerage platform that serves individual investors who invest on their own or through a workplace-sponsored retirement or equity plan, as well as banking through Schwab Bank. The firm was founded in 1973 and is headquartered in San Francisco, California.

Charles Schwab Careers

Join the vibrant team at Charles Schwab, a leader in global finance, where your career is propelled by innovation, leadership, and a commitment to diversity and professional growth. At Charles Schwab, we offer more than just job opportunities; we provide a platform for you to make a significant impact on the industry and our clients' lives.

Work You’ll Do

At Charles Schwab, we are dedicated to helping our clients manage their financial futures. Being part of our team means you'll work alongside some of the most skilled professionals in the financial services industry. Our culture thrives on teamwork, integrity, and relentless dedication to our clients. Whether you're looking for a position in financial consulting, technology, or administrative support, Charles Schwab offers a dynamic work environment where your skills will be honed and your achievements recognized.

Innovate and Lead

Embrace the opportunity to lead through innovation. Charles Schwab’s commitment to technology and innovation is fundamental to our service delivery. By joining our team, you will be at the forefront of developing new solutions that redefine the future of finance. Your leadership can guide significant projects that impact our company and the industry.

Grow Your Career

Charles Schwab believes in fostering the growth of its employees. Whether through professional development programs, diversity training, or leadership workshops, we ensure that our team members receive the support and training they need to advance their careers. With a variety of career paths available, your job at Schwab can evolve with your interests and expertise.

Internship and Employment Opportunities

Start your professional journey with Charles Schwab through our internship programs or full-time employment opportunities. We seek individuals who are passionate, curious, and ready to drive change. A career at Schwab is not just about having a job; it's about building a lasting relationship with a company that values your potential.

Benefits and Culture

Charles Schwab is renowned for its employee-friendly culture. We offer a comprehensive benefits package that supports the health, financial stability, and work-life balance of our team members. From competitive salaries and bonuses to health insurance and retirement plans, Schwab ensures that your career is as rewarding as it is enriching.

Networking and Professional Development

Expand your professional network and enhance your skills through our various networking events, mentorship programs, and training sessions. At Charles Schwab, we believe in leveraging collective expertise to foster learning and innovation. Engage with leaders, gain insights from experienced professionals, and build relationships that will aid your career trajectory.

Join Our Team

Explore the numerous career paths available at Charles Schwab and discover how your talents can be utilized to their fullest potential. Search open positions that match your skills and interests. We are continuously hiring across various disciplines and look forward to adding innovative, driven individuals to our team.

Stay Connected

Keep up to date with the latest from Charles Schwab Careers by subscribing to our job alert emails. Tailor your subscription to receive updates that align with your career preferences and be the first to know about new openings, company news, and professional tips.

Explore Charles Schwab Jobs

Ready to take the next step in your career? Visit our careers page to review current job openings, submit your resume, and prepare for your interview. At Charles Schwab, your future is waiting. [SEARCH CHARLES SCHWAB JOBS] Join Charles Schwab today and be part of a team that values diversity, innovation, and leadership—where your career can thrive in the exciting world of finance.
Learn more about Charles Schwab
Size
34,200 employees
Market Cap
$151.6 billion
Industry
Finance & Insurance
Net Income
$3.2 billion
Founded
1973
5 Year Trend
+20%
Revenue
$12.1 billion
NASDAQ
SCHW
* Ladders Estimates

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