Charles Schwab

Senior Team Manager, Retail Business Unit Risk

Charles Schwab • $120K — $150K *
Austin, TX 78745In-Person
Finance & Insurance
8 - 10 years of experience
Today
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • 10+ years of relevant financial services experience with a focus on broker-dealer and retail segments
  • 8+ years of experience in supervisory roles in risk, audit, controls, or compliance
  • Proven leadership in managing teams of experienced professionals
  • Deep knowledge of risk management, controls, and GRC tools
  • Expertise in Conflicts of Interest, Disclosure Risk Management, and policy review
  • Demonstrated fluency in AI and technology for enhanced risk management practices

Responsibilities

  • Oversee risk management for the Investor Services business
  • Collaborate with senior leaders to identify and manage risks proactively
  • Lead a high-performing team of risk professionals
  • Coordinate operational and third-party risk oversight
  • Support audit engagements and ensure governance compliance
  • Drive alignment and transparency across internal and external stakeholders
  • Advance modern risk practices leveraging AI-enabled tools and technology

Benefits

  • Opportunities for professional development and career advancement
  • Collaboration with a diverse, experienced leadership team
  • Involvement in shaping cutting-edge risk management practices
  • Flexibility in managing a dynamic and evolving risk landscape
  • Chance to influence at scale within a high-growth business environment
Full Job Description
Your Opportunity

The Senior Team Manager, Retail Business Unit Risk is a critical leadership role within a fast-paced, evolving business, offering the opportunity to shape how risk is managed across Schwab’s Investor Services organization. This leader oversees the Investor Services business risk profile, partnering closely with senior leaders to proactively identify, assess, and manage risk—ensuring strong controls and alignment with regulatory and firm standards. Leading a high-performing team of risk professionals, this role spans a broad and dynamic portfolio, including risk identification and oversight, 1st line testing alignment, operational and third-party risk coordination, audit engagement support, and governance across key areas such as New Products, Conflicts of Interest, Disclosure Risk, and policy implementation. The role also carries accountability for team performance, development, and delivery.

Success in this role is driven by the ability to build strong, trusted relationships across the business and with 1st, 2nd, and 3rd lines of defense—including Internal Audit, Compliance, and testing partners—to drive alignment, transparency, and effective risk management outcomes, while proactively evolving teams and risk programs through AI fluency and AI-enabled tools and technology to enhance insights, efficiency, and scalability across the control environment.

This is a unique opportunity for a seasoned risk leader who thrives in a complex, high-growth environment and is energized by influencing at scale, building strong teams, and advancing modern, forward-looking risk practices.

What you have

Required Qualifications

  • 10+ years relevant financial services experience, including broker dealer and retail experience
  • 8+ years supervisory, risk, audit, control, or compliance experience in similar financial service industry
  • Ability to and experience in leading teams of experienced professionals
  • Significant experience with risk, controls and related GRC tools
  • Experience with functional areas such as Conflicts of Interest, Disclosure Risk Management, New Products and policy review. Including experience in standing up functional processes from concept to standard operation.
  • Demonstrated AI fluency and experience leveraging tools and technology to enhance risk identification, monitoring, and supervisory practices (e.g., data analytics, automation, or AI-enabled solutions)

Preferred Qualifications

  • Professional experience leading and engaging with teams, creating a positive, flexible and proactive culture
  • Strong communication, influencing and presentation skills
  • Highly effective organizational and time management skills
  • The ability to work on multiple projects and prioritize based on regulatory risk and business needs
  • Track record of providing sound guidance to business partners, peers and subordinates
  • Respond to changes in the business and/or regulatory environment by actively recommending changes to existing policies and procedures
  • Responded to findings and remediation plans as appropriate and track through to completion
  • Strong attention to detail and the ability to identify core and root cause of gaps and weaknesses
  • Implemented regulatory change initiatives across the business in a manner that balances the control requirements with field experience
  • Series 7 and other relevant licenses preferred (willingness to obtain)

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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