The Sales Supervision team supports Schwab’s Branch Network by helping business partners understand, execute, and continuously improve supervisory practices that support regulatory obligations, business ethics, and risk management expectations. As a Risk & Supervision Officer, you will serve as an independent and trusted partner to business leadership, field leaders, Compliance, Legal, and supervisory teams by identifying areas of concern, resolving day-to-day supervisory matters, and helping drive consistent risk-based decision-making across the business.

Reporting to the RSRM Sales Supervision Director, this Risk & Supervision Officer (RSO) functions as an extension of business leadership, while functioning independently, or with minimum guidance, in supporting the firm’s business objectives.  While proactively mitigating risk, the RSO identifies areas of concern and handles day-to-day issues as they arise from the field and partners with a focus on business ethics and regulatory and compliance practices.  The Risk & Supervision Officer (RSO) helps lead a Pod of daily supervisors with varying supervisory expertise who perform delegated supervisory responsibilities and assessments such as electronic communications, product/service recommendations, trading activity, and trend reporting. The Risk & Supervision Officer will regularly engage with various levels and members of business leadership, Compliance, and Legal partners to support business projects and initiatives related to various specialty teams and their products or services.  

Your responsibilities will include, but not limited to, supporting the following Supervision Program activities:

• Work with the business and RSRM leadership on the communication, integration and implementation of supervisory initiatives.
• Ensure business leadership is aware and involved in managing supervisory and risk management issues through regular meetings, reporting/metrics and escalations.
• Serve as a point of escalation for employee conduct issues, policy violations and disciplinary considerations.
• Communicate with Branch Managers, Team Managers, licensed reps and/or central delegate teams to resolve supervisory inquiries.
• Able to measure risk and make independent decisions in an ambiguous environment.
• Coordinate with peers, field leaders, supervisors and analyst teams to identify trends and patterns across branches, regions and/or the business line.
• Represent RSRM and demonstrate leadership through active participation on firm projects and working groups as assigned. Can think strategically, independently define next steps and drive/execute with limited guidance.
• Effectively influence and gain support of other areas of the firm in delivering solutions.
• Initiate amendments to current policies and procedures as appropriate, has a strong understanding of the firm’s Risk Management infrastructure and escalates risk accordingly.
• Build a high performance/high productivity work environment, prioritizes tasks and produces a strong work product.
• Assume a strong professional presence, is self-aware and highly engaged.
• Able to maintain an overall vision of assigned projects and communicate the status to all levels of senior leadership.
• Provide coaching and guidance to the field and business partners on policies and procedures in a way that promotes risk awareness and a strong culture of compliance.
• Works under pressure on multiple tasks concurrently and meets deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

Required qualifications

• Active FINRA Series 7, 66 or 63/65, and 9/10 or 8 or 24/53/4 licenses
• 5+ years of experience in supervision and regulatory matters
• Experience analyzing risk, identifying areas of concern, and applying sound judgment to resolve supervisory or compliance-related matters
• Ability to make independent decisions, prioritize competing work, and follow through in a fast-paced environment with changing priorities
• Strong written and verbal communication skills with the ability to engage business leaders, field partners, supervisors, and cross-functional teams

Preferred qualifications

• Bachelor’s degree in Business, Accounting, Finance, or related discipline
• Prior leadership, team management, coaching, or mentoring experience
• Experience supporting supervisory controls, policy implementation, procedure development, or risk mitigation activities
• Ability to identify trends and patterns across branches, regions, or business lines and translate insights into meaningful recommendations
• Strong candidates will have experience influencing partners, gaining support across business areas, and driving solutions with limited guidance
• Proficiency with Microsoft Office applications, including Excel, Word, and PowerPoint
• Demonstrated ability to work collaboratively, remain adaptable, and build effective working relationships across all levels of the organization

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