Senior AI Risk & Model Supervision Lead

Charles Schwab; Westlake (TX); Hybrid; USD 140,000 - 190,000; Full time

Benefits offered by this job

401(k) with company match

Paid time off & sabbatical

Parental leave & family benefits

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab is seeking a Senior Manager of Retail Supervision & Risk Management to drive regulatory-aligned, model-driven controls across enterprise and retail models. The role partners with Compliance, Risk, Technology, and Product to implement scalable guardrails, evaluations, and governance in a regulated financial services environment.

The position emphasizes translating complex regulations into practical controls, managing AI/ML model risk, and shaping supervision frameworks.

Qualifications

• 8–12+ years in broker-dealer and/or investment advisor supervision, risk management, or compliance, with a strong retail focus.
• Demonstrated experience with Reg BI, DOL fiduciary standards, communications supervision, and/or money movement controls.
• Hands-on involvement in AI/ML model risk management or model governance.
• Experience designing and implementing supervisory controls in a regulated financial services environment.
• FINRA Series 7, 66, and 9/10 (or equivalent).

Responsibilities

• Serve as central supervisory authority for retail and enterprise models impacting internal and external interactions, recommendations, and account activity.
• Evaluate AI and analytical models to identify regulatory, client, and business operational risks.
• Partner with Product teams to develop/refine supervisory guardrails and evaluations for model-enabled workflows.
• Develop and maintain a model supervision framework, including risk tiering and guardrail standards.
• Define clear ownership and accountability structures across first-line and second-line partners.
• Assess and provide modification recommendations to Model Whitepapers, Workflows, and other applicable artifacts.

Skills

Reg BI

DOL fiduciary standards

AI/ML risk management

Model governance

Supervisory design

Education

FINRA Series 7, 66, 9/10

Job description

Charles Schwab is seeking a Senior Manager of Retail Supervision & Risk Management to drive regulatory-aligned, model-driven controls across enterprise and retail models. The role partners with Compliance, Risk, Technology, and Product to implement scalable guardrails, evaluations, and governance in a regulated financial services environment.

The position emphasizes translating complex regulations into practical controls, managing AI/ML model risk, and shaping supervision frameworks.