Centralized Risk Supervision Manager
About The Position
Schwab’s Wealth Advisory, Banking & Trust Services (WABT) organization is redefining how wealth management is delivered—balancing client outcomes today with innovation for tomorrow. Within this environment, the Centralized Risk Supervisor – Manager plays a critical role in strengthening supervisory oversight and enhancing the firm’s risk posture across registered representative activities. In this role, you will drive meaningful impact by evaluating and evolving supervisory programs that monitor electronic communications, product and service recommendations, trading activity, and broader risk trends. Success is defined by your ability to assess the effectiveness of policies and controls, proactively identify emerging risks, and partner across the business to influence outcomes that protect clients and the firm. You will operate at the intersection of risk management and business enablement—translating complex regulatory requirements into actionable insights while supporting data-driven decision-making. This is a highly collaborative role requiring strong partnership with client-facing teams, team managers, and senior leadership across WABT. You will be trusted to independently prioritize competing priorities, navigate ambiguity, and balance regulatory expectations with business needs. Over time, you will deepen your expertise in supervisory frameworks, strengthen enterprise relationships, and contribute to continuous improvement of Schwab’s risk governance model.
Requirements
- 2+ years of experience in supervision, compliance, or regulatory functions within financial services
- Active and valid Series 7 & 66 (or equivalent)
- Bachelor’s degree or equivalent work experience
- Demonstrated Analytical Thinking and ability to assess policies, controls, and risk trends
- Strong Attention to Communication and relationship-building skills, with the ability to influence stakeholders across multiple levels
- Proven Attention to Detail and effectiveness in managing complex, high-risk activities
- Ability to independently prioritize work, manage multiple initiatives, and adapt to evolving regulatory and business needs
Nice To Haves
- Active Series 9/10 (or equivalent) or ability to obtain (may be required as a condition of employment)
- Experience supporting supervisory controls, risk programs, or governance frameworks
- Exposure to Analytics & Reporting practices and using data to inform decision-making
- Strong Adaptability and ability to work in fast-paced, evolving environments
Responsibilities
- Evaluating and evolving supervisory programs that monitor electronic communications, product and service recommendations, trading activity, and broader risk trends.
- Assessing the effectiveness of policies and controls.
- Proactively identifying emerging risks.
- Partnering across the business to influence outcomes that protect clients and the firm.
- Translating complex regulatory requirements into actionable insights.
- Supporting data-driven decision-making.
- Prioritizing competing priorities, navigating ambiguity, and balancing regulatory expectations with business needs.
- Deepening expertise in supervisory frameworks.
- Strengthening enterprise relationships.
- Contributing to continuous improvement of Schwab’s risk governance model.
Benefits
- In addition to the salary range, this role is eligible for bonus or incentive opportunities.
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What This Job Offers
Job Type
Full-time
Career Level
Manager
