Senior AI Risk & Retail Supervisory Lead

Charles Schwab Corporation

Westlake (TX)

Hybrid

USD 130,000 - 180,000

Full time

3 days ago

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Job summary

Charles Schwab Corporation, a leading financial services firm, seeks a Senior Manager of Retail Supervision & Risk Management to ensure model-driven activities meet regulatory expectations and are supported by effective controls. You will collaborate across Compliance, Risk, Technology, and Product to implement scalable guardrails and policy frameworks.

Responsibilities include 1LOD supervision, control design and testing, and ongoing monitoring to protect clients and uphold Reg BI, DOL

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 the central supervisory authority for retail and enterprise models impacting internal and external interactions, recommendations, and account activity.
Assess and approve/deny models prior to planned deployment.
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.
Define ownership structures and accountability across first-line and second-line partners.