Senior Manager, Supervisory Development and Quality Assurance - Retail Supervision & Risk

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 & Risk Management is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis, and supervisory risk assessments, to Schwab's Investor Services (retail) group.

Retail Supervision & Risk Management vision is to be a trusted independent partner of all Schwab customers 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.

Do you have significant supervision, compliance, and / or regulatory experience? Are you passionate about coaching and helping supervisors and risk managers develop or deepen the skills, knowledge, and judgment they need to be highly effective in their roles?

The Senior Manager position will allow you to tap into your supervisor experience and deep regulatory or compliance background to lead the Retail Supervision Learning & Development Program.

In this role you'll conduct quality assurance reviews to inform coaching opportunities and training needs and will have the opportunity to develop training materials with relevant, up-to-date content that aligns with industry standards and regulatory expectations.

This role is key in driving excellence, and the Senior Manager will recommend corrective actions including targeted coaching or training to address identified gaps or deficiencies.

What you have

Required Qualifications

• Bachelor's degree
• Series 7 license
• Series 9 / 10 or 24 license
• 8-10+ years of supervision, compliance, audit, or regulatory risk management experience in financial services retail broker / dealer and / or Investment Advisory firm
• Experience developing and delivering training content

Preferred Qualifications

• Strong knowledge of financial services broker-dealer and Investment Advisory industry standards, best practices, and rules / regulations, including FINRA Rule 3110, Regulation Best-Interest, and DOL PTE
• Confident public speaker and a devoted educator with a strong supervisory and / or regulatory audit / examiner background, training experience, and strong analytical and presentation skills
• Superb MS PowerPoint and presentation skills
• Exceptional written and verbal communication skills with the ability to communicate to audiences of varying levels of seniority
• Ability to operate in a fast-paced environment and execute with speed without sacrificing quality
• Strong analytical skills and ability to analyze data and information and draw robust conclusions
• Ability to negotiate and influence outcomes without direct authority and push through roadblocks and dependencies
• Self-starter who operates independently, yet collaboratively
• Innovative, positive attitude, proactive, professional, highly engaged, strong work ethic with high level of integrity and ethics
5 days ago