Charles Schwab

Senior Manager, Retail Supervision and Risk Management

Charles Schwab • $100K — $130K *
Austin, TX 78745In-Person
Finance & Insurance
5 - 7 years of experience
6 days ago
Job Overview by Ladders

Qualifications

  • Bachelor’s degree or equivalent required
  • 7+ years of experience in financial services with a focus on risk, compliance, supervision, or controls
  • Active and valid FINRA Series 7, 63, and 8 (9/10) licenses needed
  • Proven leadership abilities with capacity to guide peers and enhance team effectiveness
  • Experience in analytical scenarios requiring sound judgment and decision-making
  • Strong communication skills for building effective partnerships across teams
  • Analytical and investigative mindset to convey complex information clearly

Responsibilities

  • Investigate complex scenarios for potential advisory activity
  • Analyze behavioral patterns and account activity in collaboration with various teams
  • Lead initiatives and communicate effectively in a demanding and fast-paced environment
  • Execute control processes to mitigate risks to clients and the firm
  • Develop and present communication materials to advise cross-functional partners
  • Translate regulatory policies into actionable risk guidance
  • Support governance and reporting activities

Benefits

  • Opportunities for continued professional development
  • Collaborative and team-oriented work culture
  • Engagement with senior leadership in strategic discussions
  • Participation in initiatives that influence business strategy and risk management
  • A fast-paced and dynamic environment to drive personal growth
Full Job Description
Your Opportunity

Retail Supervision and Risk Management (RSRM) is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis, and supervisory risk assessments, to Schwab’s Investor Services (retail) group. Retail Supervision and Risk Management’s vision is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective, and unbiased risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment.

 

The Senior Manager, Retail Supervision and Risk Management, plays a critical role at the intersection of risk management, investigative analysis, and business strategy. This position is responsible for executing and advancing Schwab’s framework for identifying and addressing advisory-related risk within the Retail environment. This is an individual contributor position.This role requires a curious, analytical, and highly investigative mindset to evaluate complex scenarios and determine whether individuals may be acting as investment advisors within a platform designed for self-directed investors. Success requires connecting disparate signals, assessing intent and behavior, and applying policy through a risk-based lens while communicating findings clearly to senior stakeholders. This role may also help inform and support initiatives that advance retail advice business strategies, ensuring risk considerations are thoughtfully integrated into business planning and execution.

 

Responsibilities:

  • Investigate complex scenarios to identify potential advisory activity.

  • Analyze behavior, relationships, and account activity in partnership with teams across Schwab.

  • Independently lead and drive work, influence, effectively communicate and work in a fast-paced, rigorous environment while applying judgment in ambiguous situations.

  • Execute control processes to protect clients and the firm from risk.

  • Advise cross-functional partners through strong written and verbal communication, including developing materials and presenting information effectively.

  • Translate policy into actionable guidance.

  • Build strong relationships across teams and stakeholder groups.

  • Support the team by providing guidance on complex cases while promoting consistency in case handling and application of policy.

  • Lead and execute initiatives to improve risk detection, efficiency, and scale for the team while delivering high-quality outcomes.

  • Support reporting and governance activities.

  • Ability to analyze data, develop recommendations, and influence partners.

  • Maintain documentation standards.

What you have

Qualifications:

  • Bachelor’s degree or equivalent

  • 7+ years of experience in financial services, including risk, compliance, supervision, or controls

  • Active and valid FINRA Series 7, 63, and 8 (9/10) licenses

  • Demonstrated leadership potential, including the ability to guide peers, provide thoughtful direction on complex work, and contribute positively to team effectiveness.

  • Experience applying judgment in complex analytical scenarios.

  • Strong communication and collaboration skills, with the ability to build trusted partnerships across the team and business partners.

  • Strong analytical and investigative mindset, with the ability to convey complex information clearly and persuasively while influencing across organizations.

  • Ability to engage senior leadership and key stakeholders with thoughtful insights, active listening, and sound judgment.

  • Ability to assess ambiguity and risk through a curious mindset and confident decision-making.

  • Proactive self-starter with the ability to multitask, strategically prioritize, and deliver high-quality work with urgency in a constantly evolving environment.

  • Leadership capabilities and an interest in continued growth as a people or team leader.

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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