Senior Manager, Retail Supervision
About The Position
The Senior Manager, Retail Supervision is part of Schwab’s Retail Supervision & Risk Management Quality Assurance and Learning & Development team. The role helps improve the quality and effectiveness of Retail risk and supervisory programs while promoting continuous learning, professional growth, and supervisory excellence. The successful candidate independently assesses supervisory activities and risk management programs against Written Supervisory Procedures, regulatory requirements, supervisory standards, and industry best practices. As Schwab expands its AI-enabled capabilities, complex product offerings, and business services, this position evolves training and quality assurance programs to scale with the business, broaden coverage, and focus on high-risk activities and supervisory priorities. The role uses AI and technology to enhance efficiency, effectiveness, and scalability, and supports employee development and supervisor readiness in a fast-paced, evolving environment. The position follows a Monday–Friday schedule during standard business hours and uses a hybrid model: four days in the office and one day working from home. It is available only in the listed areas; candidates must reside or be willing to relocate to one of those areas at their own expense. Applicants must be authorized to work full-time in the United States without employer sponsorship. The role is eligible for bonus or incentive opportunities in addition to the salary range.
Requirements
- Series 7 and Series 9/10, or Series 24, license required.
- 8–10+ years of retail broker-dealer supervisory experience as a licensed supervisor.
- 10+ years of experience in financial services risk management, compliance, or audit.
- 5+ years of experience in training, learning and development, or a related supervisory or regulatory oversight function.
- Strong knowledge of FINRA, SEC, and securities regulatory and supervisory requirements.
- Complex product knowledge and experience supervising, assessing, or advising on controls related to complex products.
- Experience conducting quality assurance reviews, audits, examinations, supervisory testing, or risk and control assessments.
- Strong analytical and critical-thinking skills, including the ability to identify risks, patterns, trends, and improvement opportunities.
- Strong written, verbal communication, and presentation skills, including the ability to communicate observations and recommendations to senior leaders and influence positive risk outcomes.
- Ability to facilitate training, coaching, or knowledge-sharing sessions.
- Strong organization and attention to detail, with the ability to manage multiple priorities in a fast-paced environment.
- Proficiency with Microsoft Word, Excel, and PowerPoint.
- Strong supervisory judgment and risk awareness.
- Passion for continuous learning and employee development.
- Ability to influence without direct authority and take a collaborative, practical approach to problem-solving.
- Accountability, professionalism, sound decision-making, and commitment to improving employee performance and supervisory effectiveness.
- Ability to build trusted relationships, establish credibility, and develop strong partnerships across organizational levels.
- Ability to thrive in a fast-paced, evolving environment, navigate ambiguity, and deliver high-quality results with speed and consistency.
- Must be authorized to work full-time in the United States without employer sponsorship.
- Must reside or be willing to relocate at their own expense to one of the listed areas.
Responsibilities
- Conduct risk-based quality assurance reviews of supervisory and risk management programs and activities.
- Evaluate adherence to applicable Written Supervisory Procedures, regulatory requirements, policies and procedures, and established standards.
- Assess the quality of supervisory documentation, risk identification, supervisory judgment, and escalation appropriateness.
- Translate observations into targeted coaching, training, and program enhancements.
- Support new-hire onboarding and professional development by designing, delivering, and enhancing training programs that build risk and supervisory expertise.
- Develop learning content, quality assurance focus areas, and practical guidance to build supervisor readiness for complex products.
- Evolve quality assurance and learning and development programs in response to changing business and regulatory needs.
- Leverage AI and automation to streamline processes, increase capacity, and improve business impact and program scalability.
- Present quality assurance findings clearly and confidently, communicating risks, trends, and recommendations to leaders and business partners.
Benefits
- Bonus or incentive opportunities
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
