Senior Manager, Fixed Income Risk and Supervision
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.
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.
We are looking for a Centralized Risk Supervisor within our Wealth Advice Solutions Risk & Governance (WAS R&G) organization to perform supervisory-related functions and controls based on the activities performed by registered representatives at Schwab with a focus on Advisory Services. This Centralized Risk Supervisor will play a key role in contributing to supervisory program reviews of electronic communications, fixed income product/service recommendations, trading activity, trend reporting and desktop procedures updates. This is an individual contributor role in which you'll collaborate 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:
- Bachelor's degree or equivalent work experience
- Active and valid Series 7 license
- Active and valid Series 66 license, or equivalent
- Active and valid Series 9/10 license, or equivalent
Preferred Qualifications:
- 2-3 years' supervision/compliance/regulatory experience
- Strong investment industry knowledge and understanding of compliance and regulatory requirements applicable to fixed income and annuity products and services
- Strong communication and relationship skills, including experience working with various levels of management
- Strong and demonstrated time management, analytical, and organization skills
- Working knowledge of standard industry rules and regulations
- Strong relationship management skills, including ability to develop collaborative working relationships and promote a risk-focused culture
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
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