What are the responsibilities and job description for the Centralized Risk Supervision Manager position at Charles Schwab Inc.?
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 to join our Wealth Advice Solutions Risk & Governance (WAS R&G) organization to perform supervisory-related functions and controls that will drive consistency as it relates to activities performed by registered representatives at Schwab. This person will hold a key role in contributing to supervisory program reviews of electronic communications, product/service recommendations, trading activity, and trend reporting. The Centralized Risk Supervisor will collaborate with business partners across the firm building effective working relationships with various levels of WAS employees from client-facing representatives to Senior Leadership.
What you have
Required Qualifications
- Bachelor’s degree or equivalent work experience
- 2 years’ supervision/compliance/regulatory experience
- Active and valid Series 7 & 66 licenses, or equivalent
Preferred Qualifications
- Active Series 9/10, may be a condition of employment
- Strong investment industry knowledge and understanding of compliance and regulatory requirements applicable to alternative investment assets
- Strong communication skills
- Relationship building skills, including experience working with various levels of management
- The ability to promote a risk-focused culture
- Strong and demonstrated time management, analytical, and organization skills
