Charles Schwab

Sr. Manager - Supervision and Controls

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

Qualifications

  • 5+ years of supervision experience, including annuity and product supervision
  • Extensive knowledge of annuities, fixed income, and financial products
  • Strong knowledge of compliance and regulatory requirements
  • Demonstrated skills in Risk Assessment and Decision Making
  • Strong communication and relationship-building skills
  • Ability to manage competing priorities under deadlines
  • Bachelor’s degree or equivalent work experience
  • Active Series 7, 63, and 8 or 9/10 licenses
  • Active Series 66 or 63/65 licenses
  • State Life and Health Insurance License or ability to obtain it

Responsibilities

  • Provide oversight of registered representatives' activities
  • Assess risks and identify patterns in trading and communication
  • Make timely decisions to protect clients and the firm
  • Collaborate across departments to ensure compliance standards are met
  • Build influential relationships with business partners
  • Adapt to changing priorities in a fast-paced environment
  • Implement supervisory controls based on regulatory compliance

Benefits

  • Bonus or incentive opportunities offered
  • Eligibility for continued education and training
  • Access to Schwab’s wealth management resources and tools
  • Collaborative work environment fostering professional growth
  • Opportunity to influence high-level business decisions
Full Job Description
Your Opportunity

Schwab’s Wealth Advisory, Banking & Trust Services organization is building an industry-leading wealth management experience that delivers for clients today while innovating for tomorrow. The Senior Manager, Centralized Risk Supervision will join the Wealth and Product Risk & Governance organization and provide critical oversight of activities performed by registered representatives.

This role applies product expertise, regulatory knowledge, and sound decision making to supervisory controls involving electronic communications, product and service recommendations, trading activity, and trend reporting. You will assess risk, identify patterns, and make timely decisions that protect clients and the firm.

 

Success requires strong collaboration across the organization, from service professionals to senior leaders. You will build trusted relationships, influence business partners, adapt to changing priorities, and balance strategic oversight with hands-on supervisory responsibilities in a fast-paced environment.

 

What you have

Required qualifications

  • 5+ years of supervision experience, including annuity and product supervision
  • Extensive knowledge of annuities, fixed income, and financial products
  • Strong knowledge of compliance and regulatory requirements applicable to the brokerage and investment advisory industry
  • Demonstrated Risk Assessment, Risk Monitoring, and Decision Making skills when reviewing registered representative activity
  • Strong Communication, Influencing Others, and Building Collaborative Relationships skills across all levels of an organization
  • Ability to manage competing priorities and make sound decisions under intensive deadlines
  • Bachelor’s degree or equivalent work experience
  • Active and valid Series 7, Series 63, and Series 8 or Series 9/10 licenses
  • Active and valid Series 66 or Series 63/65 licenses
  • State Life and Health Insurance License or ability to obtain the license as a condition of employment

Preferred qualifications

  • Experience conducting reviews of electronic communications, product or service recommendations, trading activity, or supervisory trends
  • Extensive Fixed Income expertise
  • Demonstrated ability to operate effectively at both strategic and tactical levels
  • Strong Problem Solving, Analytical Thinking, and Adaptability skills in a fast-paced supervisory environment
  • Experience using reporting and trend information to identify risk and strengthen supervisory controls

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

 

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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