Sr. Manager - Supervision and Controls

Your OpportunityAt 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 Advisory, Banking & Trust Services organization is building an industry-leading wealth management experience that delivers for clients today while innovating for tomorrow. The Senior Manager, Centralized Risk Supervision will join the Wealth and Product Risk & Governance organization and provide critical oversight of activities performed by registered representatives.This role applies product expertise, regulatory knowledge, and sound decision making to supervisory controls involving electronic communications, product and service recommendations, trading activity, and trend reporting. You will assess risk, identify patterns, and make timely decisions that protect clients and the firm.Success requires strong collaboration across the organization, from service professionals to senior leaders. You will build trusted relationships, influence business partners, adapt to changing priorities, and balance strategic oversight with hands-on supervisory responsibilities in a fast-paced environment.What you haveRequired qualifications5+ years of supervision experience, including annuity and product supervisionExtensive knowledge of annuities, fixed income, and financial productsStrong knowledge of compliance and regulatory requirements applicable to the brokerage and investment advisory industryDemonstrated Risk Assessment, Risk Monitoring, and Decision Making skills when reviewing registered representative activityStrong Communication, Influencing Others, and Building Collaborative Relationships skills across all levels of an organizationAbility to manage competing priorities and make sound decisions under intensive deadlinesBachelor’s degree or equivalent work experienceActive and valid Series 7, Series 63, and Series 8 or Series 9/10 licensesActive and valid Series 66 or Series 63/65 licensesState Life and Health Insurance License or ability to obtain the license as a condition of employmentPreferred qualificationsExperience conducting reviews of electronic communications, product or service recommendations, trading activity, or supervisory trendsExtensive Fixed Income expertiseDemonstrated ability to operate effectively at both strategic and tactical levelsStrong Problem Solving, Analytical Thinking, and Adaptability skills in a fast-paced supervisory environmentExperience using reporting and trend information to identify risk and strengthen supervisory controlsIn addition to the salary range, this role is eligible for bonus or incentive opportunities.Job SummaryRequisition ID: 2026-126700Posted Date: 1 week ago(9/11/2026 9:58 AM)Category: Risk & RegulatorySalary Range: USD $115,000.00 - $140,000.00 / YearApplication deadline: 9/26/2026Position Type: Full time