Senior AI Supervision & Controls Leader (Hybrid)

Charles Schwab Corporation; Westlake (TX); Hybrid; USD 170,000 - 210,000; Full time

Benefits offered by this job

Hybrid work model

Bonus opportunities

Job summary

Charles Schwab Corporation is seeking a Senior Manager of Retail Supervision & Risk Management to lead 1LOD supervisory execution over model-driven activity, ensuring regulatory compliance and risk-aware dispositions. The role collaborates with Compliance, Risk, and Product teams to calibrate control frameworks and deliver executive-ready insights.

The position emphasizes supervision of complex model outputs, risk interpretation, and robust documentation, with a hybrid in-office schedule in

Qualifications

• 8+ years of experience supervising broker-dealer/investment advisor activity in a regulated environment.
• FINRA Series 7, 66, and 9/10 required.
• Experience with Regulation Best Interest (Reg BI) and retail investor protection requirements.
• Ability to review complex facts, exercise sound supervisory judgment, and document regulator-defensible rationale.
• Experience with AI/ML or model-enabled workflows and associated risks.
• Experience producing supervisory reporting and updates for senior audiences.

Responsibilities

• Execute supervisory review routines and controls for model-enabled workflows.
• Interpret model outputs to determine appropriate supervisory dispositions and risk ratings.
• Document review results with clear rationale and audit-ready dispositions.
• Identify where controls are effective or need refinement for better risk coverage.
• Produce recurring and ad hoc supervisory observations and insights for leadership.
• Collaborate with AI Model Supervision, Compliance, Risk, Product, and other partners to align standards.

Skills

Supervisory judgment

Model output risk

Executive communication

Pattern recognition

Tactical execution

Influence without authority

Education

FINRA Series 7, 66, and 9/10

Job description

Charles Schwab Corporation is seeking a Senior Manager of Retail Supervision & Risk Management to lead 1LOD supervisory execution over model-driven activity, ensuring regulatory compliance and risk-aware dispositions. The role collaborates with Compliance, Risk, and Product teams to calibrate control frameworks and deliver executive-ready insights.

The position emphasizes supervision of complex model outputs, risk interpretation, and robust documentation, with a hybrid in-office schedule in