Senior Manager, Centralized Risk Supervisor
About The Position
At Schwab, you're empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us "challenge the status quo" and transform the finance industry together. Retail Supervision and Risk Management is an independent group responsible for providing delegated review of control and risk mitigation functions to Schwab's Investor Services. The vision of Retail Supervision & Risk Management is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective and unbiased risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment. The Centralized Risk Supervisor within the Retail Supervision and Risk Management organization will own the daily supervision of branch activities which may include trading, incentive compensation, Reg BI, recommendations into offers, communications, operational and other approvals/reviews as needed. For potential incentive compensation reviews, you will ensure the adjustment meets all the required criteria and appropriate documentation for approval. This person may also work with business partners across the firm building effective working relationships with various levels of branch network employees from customer service to various leadership levels. This is an Individual Contributor role reporting into Sales Supervision Leadership, Retail Supervision and Risk Management.
Requirements
- Active and valid Series 7
- Active and valid Series 66 (63/65)
- Active and valid Series 8 (9/10)
- 5+ years' supervision experience
- Bachelor's degree or equivalent work experience
- Strong knowledge and understanding of compliance and regulatory requirements applicable tothe brokerage/investment advisory industry
Nice To Haves
- Strong communication, influencing, and relationship skills, including experience working with alllevels of management
- Time management, organization, and prioritization skills
- The ability to work under intensive deadlines
- The ability to influence others through the development of strong working relationships
- The ability to operate in a fast-paced environment and have the ability to make decisions basedon sound judgment, with information at hand
- Proven supervision and oversight skills displaying a track record of operating at both strategicand tactical levels
- Series 24 a plus
Responsibilities
- Own the daily supervision of branch activities which may include trading, incentive compensation, Reg BI, recommendations into offers, communications, operational and other approvals/reviews as needed.
- Ensure the adjustment meets all the required criteria and appropriate documentation for approval for potential incentive compensation reviews.
- Work with business partners across the firm building effective working relationships with various levels of branch network employees from customer service to various leadership levels.
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Industry
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
Number of Employees
5,001-10,000 employees
