Sr. Manager - Supervision and Controls
About The Position
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.
Requirements
- 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
Nice To Haves
- 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
Responsibilities
- Provide critical oversight of activities performed by registered representatives.
- Apply product expertise, regulatory knowledge, and sound decision making to supervisory controls involving electronic communications, product and service recommendations, trading activity, and trend reporting.
- Assess risk, identify patterns, and make timely decisions that protect clients and the firm.
- Build trusted relationships, influence business partners, adapt to changing priorities, and balance strategic oversight with hands-on supervisory responsibilities.
Benefits
- Eligible for bonus or incentive opportunities
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Manager
