Pay range: USD $90,000.00 - $150,000.00 / 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.
Schwab's Wealth and Advice Solutions (WAS) organization is building and delivering an industry-leading wealth management experience. WAS' vision and mission is to make wealth management more accessible, delivering for clients today while innovating for tomorrow.
As a Centralized Risk Supervisor within our Wealth Advice Solutions Risk & Governance (WAS R&G) organization you'll perform supervisory-related functions and controls based on the activities performed by registered representatives at Schwab. In this individual contributor role, you'll have the opportunity to contribute to supervisory program reviews of electronic communications, product/service recommendations, trading activity, and trend reporting. The Centralized Risk Supervisor will collaborate heavily with business partners across the firm, building effective working relationships with various levels of WAS employees from client-facing representatives to Senior Leadership.
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What you have
Required Qualifications
- Active and valid Series 7 license
- Active and valid Series 66 license or equivalent
- Active and valid Series 9/10 license or equivalent
- 5+ years' supervision/compliance/regulatory experience
- Bachelor's degree or equivalent work experience
- Strong investment industry knowledge and understanding of compliance and regulatory requirements plus a strong understanding and industry knowledge around alternative investment assets
Preferred Qualifications
- Strong communication and relationship management skills, including experience working with various levels of management
- Ability to develop collaborative working relationships and promote a risk-focused culture
- Strong and demonstrated time management, analytical, and organization skills
- Ability to operate in a fast-paced environment with the capacity to flex with business needs
What's in it for you
At Schwab, we're committed to empowering our employees' personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you'll get the tools you need to make a positive difference in the finance industry. 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