Charles Schwab

Senior Manager, Risk Supervision and Controls

Charles Schwab$110K — $130K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • 6-8 years relevant financial services experience, particularly in broker-dealer and retail settings.
  • 5+ years experience in supervisory, risk, audit, control, or compliance roles within financial services.
  • Series 7 and other industry licenses preferred, or willingness to obtain them.
  • Strong communication and influencing skills to provide credible risk guidance.
  • Highly effective organizational and time management capabilities.

Responsibilities

  • Lead risk identification, assessment, and monitoring for Retail Investor Services, focusing on regulatory and operational risk.
  • Maintain and evolve the Risk and Control Self-Assessment (RCSA) framework.
  • Provide independent advisory support on risk strategies and control effectiveness to business partners.
  • Execute issue management lifecycle, including root cause analysis and action development for control gaps.
  • Collaborate with various defense teams to support audit readiness and effective challenge in risk testing activities.

Benefits

  • Collaborative environment with opportunities for cross-business unit alignment.
  • Support for professional development and obtaining industry licenses.
  • Emphasis on improving consistency and scalability in processes.
  • Opportunities to influence key stakeholders at all levels.
  • Engagement with regulatory changes to enhance practical business guidance.
Full Job Description
The Senior Manager will:

  • Lead risk identification, assessment, and monitoring activities across Retail Investor Services, with a focus on supervisory, regulatory, and operational risk

  • Maintain and evolve the Risk and Control Self-Assessment (RCSA), including mapping controls to risks and documenting control design and effectiveness

  • Provide independent challenge and advisory support to business partners on risk mitigation strategies and control effectiveness

  • Support and execute the issue management lifecycle, including root cause analysis and development of actions to address control gaps

  • Partner with 1st, 2nd, and 3rd line of defense teams to support testing activities, audit readiness, and responses to testing inquiries, and effective challenge, while maintaining strong relationships with partners

  • Support the new product lifecycle by identifying applicable risks and controls within the RCSA framework

  • Develop and enhance standardized frameworks, templates, and processes to improve consistency, scalability, and audit defensibility

  • Collaborate across business units to ensure alignment on risk ownership, governance expectations, and supervisory practices

  • Support implementation of regulatory changes and policy updates, translating requirements into practical, business-aligned guidance

  • Influence stakeholders at all levels by providing clear, concise, and risk-based recommendations that balance control requirements with business objectives

What you have

Required Qualifications:

  • 6-8 years relevant financial services experience, including broker dealer and retail experience

  • 5+ years supervisory, risk, audit, control, or compliance experience in similar financial service industry

Preferred Qualifications:

  • Series 7 and other licenses (willingness to obtain)

  • Strong communication and influencing skills, with a demonstrated ability to provide credible challenge and risk-based guidance to business partners

  • Highly effective organizational and time management skills

  • Experience implementing and operationalizing process improvements at scale

  • Ability to prioritize competing initiatives based on risk impact, regulatory expectations, and business priorities

  • Proven ability to make timely, well-reasoned decisions based on available information

  • Experience interpreting regulatory changes and translating requirements into actionable policy, procedure, and control enhancements

  • Ability to respond to findings and remediation plans and track through to completion

  • Strong attention to detail, with the ability to identify root causes of gaps and emerging risks

  • Experience implementing regulatory or control-related initiatives across a business in a way that balances control requirements with business needs

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
Net Income
$3.2 billion
Founded
1973
5 Year Trend
+20%
Revenue
$12.1 billion
NASDAQ

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