Senior Manager, Branch Centralized Risk Supervisor

Charles Schwab; Orlando (FL); Hybride; USD 120 000 - 180 000; Plein temps

Avantages offerts par ce poste

401(k) with company match

Employee stock purchase plan

Parental leave

Tuition reimbursement

Health, dental, and vision insurance

Résumé du poste

Charles Schwab in Orlando, FL is seeking a Branch Centralized Risk Supervisor to oversee branch activities, including trading and investment recommendations, and to guide risk decisions across the Investor Services organization. You will evaluate complex situations, identify emerging risks, and provide clear guidance to protect clients and support smart business choices.

This is an individual contributor role with broad visibility.

Qualifications

• Active FINRA registrations required for licensure.
• “Bachelor’s degree or equivalent work experience”.
• Five+ years of supervisory experience in brokerage or investment advisory.

Responsabilités

• Provide centralized supervisory oversight for branch activities including trading and investment recommendations.
• Evaluate complex facts and trends to determine risk severity and guide resolution.
• Assess whether recommendations and offers are suitable, considering enrollment factors and fees.
• Identify emerging risks and help partners respond before concerns escalate.
• Apply regulatory knowledge to deliver practical, well-reasoned guidance.
• Partner with employees and leaders to promote responsible risk decisions.
• Communicate complex risk matters clearly and effectively.
• Use AI-enabled tools to strengthen analysis, documentation, and efficiency.
• Maintain knowledge of regulatory developments and evolving business risks.

Connaissances

FINRA Series 7

FINRA Series 63

Series 66 (or 63+65)

Series 8/9/10 equivalents

Regulatory knowledge

Risk assessment

Regulatory communications

Stakeholder collaboration

Formation

Bachelor’s degree or equivalent

Outils

Microsoft Copilot

Description du poste

Your opportunity At Schwab, you’re empowered to make a meaningful impact on both the business and our clients. Innovative thought, sound judgment, and thoughtful risk management come together here to help challenge the status quo and strengthen trust across the firm. Join a team that helps Schwab grow responsibly while protecting the trust our clients place in us. As a Branch Centralized Risk Supervisor, you will bring your brokerage and advisory expertise to some of the most important and complex risk decisions affecting Schwab’s branch network and Investor Services organization. This is an opportunity to move beyond routine supervision and help shape thoughtful, practical approaches to risk. You will evaluate complex situations, identify emerging concerns, and provide clear guidance that supports strong client outcomes and sound business decisions. Your work will have visibility across the organization, giving you the opportunity to collaborate with frontline professionals, business leaders, and senior stakeholders. You will serve as a trusted partner who can balance regulatory expectations with a strong understanding of the business. Whether you are reviewing supervisory matters, recognizing patterns across branch activity, or advising partners through an ambiguous situation, your judgment will help Schwab address risk early and move forward with confidence.

In This Individual Contributor Role, You Will

• Provide centralized supervisory oversight for branch activities, including trading, investment recommendations, electronic communications, operational matters, and delegated approvals.
• Evaluate complex facts, behaviors, and trends to determine risk severity, identify root causes, and guide appropriate resolution.
• Help protect clients by assessing whether recommendations and related offers are suitable, including consideration of enrollment factors and fees.
• Identify emerging risks that could affect Schwab’s branch network or broader business and help partners respond before concerns become larger issues.
• Apply regulatory, industry, and Schwab policy knowledge to deliver practical, well-reasoned guidance.
• Partner with employees and leaders across the firm to promote responsible decisions and consistent risk practices.
• Communicate complex or sensitive risk matters clearly, respectfully, and effectively.
• Use available technology, including AI-enabled tools, to strengthen analysis, documentation, and efficiency.
• Continue building your knowledge of regulatory developments, industry practices, and evolving business risks.

Professional Expectations

• Exhibit executive presence, professionalism, and credibility when presenting risk
• Approach issues with a constructive, solutions-oriented, and positive mindset
• Demonstrate accountability for individual performance, development, and continuous improvement
• Act as a trusted risk partner who delivers difficult messages thoughtfully and effectively

Required Qualifications

• Active and valid FINRA Series 7 registration.
• Active and valid FINRA Series 63 registration.
• Active and valid Series 66 registration, or active and valid Series 63 and Series 65 registrations.
• Active and valid Series 8 or Series 9 and Series 10 registrations, or an accepted equivalent.
• Bachelor’s degree or equivalent work experience.
• Five or more years of supervisory experience within the brokerage or investment advisory industry.
• Working knowledge of regulatory and compliance requirements applicable to retail brokerage and investment advisory businesses.

Preferred Qualifications

• Series 24 registration.
• Experience identifying, assessing, and mitigating risk in complex or ambiguous brokerage or advisory situations.
• Experience advising or influencing business leaders on supervisory, regulatory, or risk matters.
• Experience managing multiple risk-sensitive matters with competing deadlines.
• Demonstrated written and verbal communication experience involving complex or sensitive risk decisions.
• Experience identifying patterns or emerging risks across branch, client, trading, operational, or communication activity.
• Experience using AI-enabled technology, such as Microsoft Copilot, to support analysis, documentation, or workflow efficiency.

What’s in it for you

At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

• 401(k) with company match and Employee stock purchase plan
• Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
• Paid parental leave and family building benefits
• Tuition reimbursement
• Health, dental, and vision insurance