Senior Manager, Centralized Risk Supervisor
Yesterday• Westlake, TX
Pay range: USD $110,000.00 - $145,000.00 / Year
Your opportunity
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.
Want more jobs like this?
Get jobs in Westlake, TX delivered to your inbox every week.
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.
What you have
Required Qualifications:
- 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 to
the brokerage/investment advisory industry
Preferred Qualifications:
- Strong communication, influencing, and relationship skills, including experience working with all
levels 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 based
on sound judgment, with information at hand - Proven supervision and oversight skills displaying a track record of operating at both strategic
and tactical levels - Series 24 a plus
What's in it for you
At Schwab, you're empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration-so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you - both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
Client-provided location(s): Westlake, TX
Job ID: CharlesSchwab-2025-115988
Employment Type: OTHER
Posted: 2025-10-11T19:22:26
Perks and Benefits
Health and Wellness
- Health Insurance
- Dental Insurance
- Vision Insurance
- Life Insurance
- Short-Term Disability
- Long-Term Disability
- FSA
- FSA With Employer Contribution
- HSA
- HSA With Employer Contribution
- Pet Insurance
- Mental Health Benefits
Parental Benefits
- Birth Parent or Maternity Leave
- Non-Birth Parent or Paternity Leave
- Fertility Benefits
- Adoption Assistance Program
- Family Support Resources
- Adoption Leave
Work Flexibility
- Hybrid Work Opportunities
Office Life and Perks
- Commuter Benefits Program
- Snacks
- Company Outings
- On-Site Cafeteria
- Holiday Events
Vacation and Time Off
- Paid Vacation
- Paid Holidays
- Personal/Sick Days
- Sabbatical
- Leave of Absence
- Volunteer Time Off
Financial and Retirement
- 401(K) With Company Matching
- Stock Purchase Program
- Performance Bonus
- Financial Counseling
Professional Development
- Tuition Reimbursement
- Promote From Within
- Shadowing Opportunities
- Access to Online Courses
- Internship Program
- Work Visa Sponsorship
- Leadership Training Program
- Associate or Rotational Training Program
Diversity and Inclusion
- Employee Resource Groups (ERG)
- Diversity, Equity, and Inclusion Program