Centralized Supervision Team Manager

Charles Schwab Corporation; Westlake (TX); Hybrid; USD 140,000 - 180,000; Full time

Job summary

Charles Schwab Corporation in Westlake, TX, is seeking a Centralized Supervision Team Manager to lead a team conducting supervisory reviews across advisory recommendations, trading, and related activities. This hybrid role requires strong risk-based judgment, regulatory knowledge, and cross-functional collaboration to protect clients and support growth.

You will develop talent, guide complex decisions, and partner with Legal, Compliance, Risk, product, and leadership to improve supervision

Qualifications

• Active FINRA licenses (Series 7, 9/10, and 66) or equivalent.
• 5+ years of supervisory experience in a registered investment adviser, broker-dealer, or integrated financial services environment.
• Knowledge of broker-dealer and investment adviser business models and regulatory requirements.
• Ability to apply risk-based judgment to complex supervisory matters, including escalations and quality reviews.
• Strong written and verbal communication, explaining risk considerations clearly.

Responsibilities

• Lead and develop people: Build a high-performing team performing delegated supervisory reviews.
• Execute effective supervision: Oversee quality, trend analysis, and escalation processes.
• Strengthen programs and controls: Evaluate and strengthen supervisory controls and procedures.
• Partner across the organization: Collaborate with Legal, Compliance, Risk, Product, and leadership on supervision strategy.

Skills

FINRA licenses

Supervisory experience

Regulatory knowledge

Risk judgment

Leadership

Communication skills

Education

Bachelor’s degree

Job description

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.

The Wealth and Product Risk & Governance organization helps Wealth & Advice Solutions understand and fulfill its risk, regulatory, and supervisory obligations. Within this organization, the Centralized Supervision team performs delegated supervisory reviews of activities conducted by registered professionals who support the Schwab Wealth Advisory offer.

As a Centralized Supervision Team Manager, you will lead and develop a team responsible for consistent, risk-based supervisory reviews across advisory recommendations, trading, electronic communications, financial planning, sales practices, and related business activities. Your leadership will help protect clients, strengthen supervisory programs, and turn regulatory expectations into practical oversight that supports responsible business growth.

This is an opportunity to combine people leadership, supervisory expertise, and cross-functional influence in meaningful work with broad visibility. You will help employees grow, guide complex decisions, identify emerging risks, and partner with leaders across Wealth & Advice Solutions, Legal, Compliance, Risk, and Product to improve how supervision is delivered.

What you’ll do

Lead and develop people

• Lead, coach, and develop a team of individual contributors who perform delegated supervisory reviews supporting Schwab Wealth Advisory.
• Set clear expectations, performance objectives, feedback routines, and accountability standards that help employees understand how their work contributes to client protection and business success.
• Build team capability through regular development conversations, cross-training, knowledge sharing, succession planning, and thoughtful talent development.
• Foster an inclusive, engaged environment where employees collaborate, respectfully challenge ideas, learn from one another, and remain resilient through change.

Execute effective supervision

• Oversee the quality and effectiveness of supervisory reviews through workflow management, quality assurance, trend analysis, and coaching.
• Guide employees through complex, sensitive, or higher-risk supervisory matters and provide clear direction on appropriate next steps, documentation, and escalation.
• Identify recurring themes, emerging risks, and patterns that may require additional oversight, business engagement, training, or changes to supervisory controls.
• Support reliable execution by maintaining practical workflows, reporting, procedures, job aids, and tools for the team’s supervisory responsibilities.

Strengthen programs and controls

• Evaluate supervisory processes and standards as business practices, products, services, technology, and regulatory expectations evolve.
• Translate regulatory, compliance, and policy requirements into practical, consistent expectations the team can apply in its day-to-day work.
• Use supervisory data, quality results, trends, and employee observations to develop actionable insights and recommend improvements.
• Contribute to business initiatives and cross-enterprise projects that affect Schwab Wealth Advisory supervision or the broader Wealth & Advice Solutions control environment.

Partner across the organization

• Build trusted relationships with Schwab Wealth Advisory leaders and partners across Wealth & Advice Solutions to communicate emerging risks, challenges, and recommendations.
• Collaborate with and influence Legal, Compliance, Risk, business leaders, product owners, and other control partners on supervisory program considerations.
• Provide practical, objective guidance grounded in business goals, client needs, supervisory obligations, and the regulatory environment.
• Maintain the independence and sound judgment required to execute supervisory responsibilities while supporting constructive business partnership.

Location & Work Arrangement: This hybrid role requires four days per week in the office and one remote workday. Candidates must live in, or be willing to relocate on their own to the listed locations.

Applicants must be currently authorized to work in the United States on a full-time basis without employer sponsorship.

In addition to the salary range, this role is also eligible for bonus or incentive opportunities.

What you have

To ensure that we fulfill our promise of "challenging the status quo," this role has specific qualifications that successful candidates should have.

Required qualifications:

• Active and valid FINRA Series 7, Series 9/10, and Series 66 registrations, or equivalent registrations.
• 5+ years of professional experience supervising registered personnel or performing supervisory reviews within a registered investment adviser, broker-dealer, or integrated financial services environment.
• Demonstrated knowledge of broker-dealer and investment adviser business models, supervisory obligations, risks, and applicable regulatory requirements.
• Demonstrated ability to apply sound, risk-based judgment to complex or sensitive supervisory matters, including escalations, controls, procedures, and quality-review processes.
• Strong written and verbal communication skills, including the ability to explain risk considerations, supervisory decisions, and recommended actions clearly to employees, partners, and senior leaders.
• Demonstrated relationship-management and influence skills, including collaboration, negotiation, consultation, and cross-functional partnership.
• Demonstrated ability to prioritize competing responsibilities and lead effectively in a fast-paced, complex, and matrixed environment.
• Bachelor’s degree or equivalent relevant professional experience.

Preferred qualifications:

• Prior direct people leadership experience or comparable leadership experience that includes coaching employees, setting expectations, managing performance, and developing talent.
• Knowledge of Schwab Wealth Advisory or comparable wealth advisory programs, services, and operating models.
• Experience using risk indicators, quality results, trend reporting, or operational data to evaluate supervisory effectiveness and identify emerging concerns.
• Experience implementing or enhancing supervisory controls, procedures, technology, reporting, or workflow-management tools.
• Demonstrated success leading employees through process, organizational, or regulatory change while managing complex priorities and making informed decisions with incomplete information.
• Ability to earn senior leader trust, navigate cross-functional conflict, deliver difficult messages professionally, and influence decisions across organizational boundaries.