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.
What you haveRequired Qualifications
Active and valid Series 7 licenseActive and valid Series 66 license or equivalentActive and valid Series 9/10 license or equivalent5+ years’ supervision/compliance/regulatory experienceBachelor’s degree or equivalent work experienceStrong investment industry knowledge and understanding of compliance and regulatory requirementsPreferred Qualifications
Strong communication and relationship management skills, including experience working with various levels of managementAbility to develop collaborative working relationships and promote a risk-focused cultureStrong and demonstrated time management, analytical, and organization skillsAbility to operate in a fast-paced environment with the capacity to flex with business needsStrong understanding and industry knowledge around alternative investment assets Options Apply for this jobApplyShareRefer a friendRefer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed Why work for us?Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.
Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Application FAQs
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