Senior AI Risk & Retail Supervision Lead

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

Job summary

Charles Schwab Corporation is seeking a Senior Manager of Retail Supervision & Risk Management to lead 1LOD model supervision and risk design in a hybrid, M-F role. You will partner with Compliance, Risk, Technology, and Product to translate regulations into practical controls for model-driven processes and ensure readiness for exams.

The role requires 8–12+ years in supervising broker-dealer or investment advisor activities, expertise in Reg BI and fiduciary standards, and hands-on AI/ML risk

Qualifications

• 8–12+ years in broker-dealer and/or investment advisor supervision, risk management, or compliance with a strong retail focus.
• Experience with Reg BI, DOL fiduciary standards, and money movement controls.
• Hands-on involvement in AI/ML model risk management or model governance.

Responsibilities

• Serve as the central supervisory authority for retail and enterprise models affecting client interactions and account activity.
• Evaluate AI/ML models to identify regulatory, client, and business risks; participate in working groups as SME.
• Develop and refine supervisory guardrails, thresholds, and escalation protocols with Product and Compliance partners.
• Translate regulatory requirements into scalable, testable controls; ensure audit readiness with documentation.

Skills

Reg BI experience

DOL fiduciary standards

AI/ML governance

Model risk management

Regulatory translation

Supervisory design

Cross-functional collaboration

Risk assessment

Education

FINRA Series 7, 66, 9/10

Job description

Charles Schwab Corporation is seeking a Senior Manager of Retail Supervision & Risk Management to lead 1LOD model supervision and risk design in a hybrid, M-F role. You will partner with Compliance, Risk, Technology, and Product to translate regulations into practical controls for model-driven processes and ensure readiness for exams.

The role requires 8–12+ years in supervising broker-dealer or investment advisor activities, expertise in Reg BI and fiduciary standards, and hands-on AI/ML risk