Centralized Risk Supervisor

Senior Manager, Centralized Risk Supervisor

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. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location(s).

Schwab's Wealth & Advice organization is building and delivering an industry-leading wealth management experience, focused on making advice more accessible while continuously innovating for the future. Within this environment, the Senior Manager, Centralized Risk Supervisor plays a critical role in strengthening a proactive, risk-aware culture by overseeing supervisory activities tied to registered representative conduct and client-facing interactions.

In this role, you will evaluate and guide supervisory programs across key areas such as electronic communications, product and service recommendations, trading activity, and risk trend analysis. Your work directly contributes to protecting clients, ensuring regulatory alignment, and enabling the business to make informed, risk-based decisions. You will partner closely with stakeholders across business and risk functions, building strong, collaborative relationships from front-line representatives to senior leadership. Success in this role requires the ability to interpret regulatory frameworks, apply sound judgment in complex situations, and identify patterns or emerging risks that inform continuous improvement of supervisory processes.

You will bring a solutions-oriented mindset to evolving business needs, balancing risk mitigation with business enablement. Your ability to communicate insights clearly, influence partners, and adapt within a dynamic regulatory landscape will be essential in driving outcomes that support both client protection and organizational growth.

What You Have

Required Qualifications:

• 5+ years of experience in supervision, compliance, or regulatory roles within the financial services industry
• Active and valid FINRA Series 7 and 66 (or equivalent)
• Active and valid FINRA Series 9/10 (or equivalent)
• Strong knowledge of investment products and services, including advisory solutions, financial planning, and fixed income
• Demonstrated understanding of regulatory requirements and supervisory expectations impacting registered representatives
• Proven ability to analyze complex situations, identify risks, and apply sound judgment to drive appropriate outcomes
• Strong communication and relationship management skills, with the ability to collaborate effectively across multiple levels of the organization
• Excellent organizational, analytical, and time management skills with the ability to manage competing priorities

Preferred Qualifications:

• Bachelor's degree or equivalent experience
• Experience contributing to or enhancing supervisory programs, including monitoring, testing, or controls development
• Ability to identify trends and translate insights into actionable recommendations that improve risk management practices
• Experience influencing business partners and promoting a risk-focused, compliance-driven culture across diverse teams