Senior Manager, Branch Centralized Risk Supervisor

Charles Schwab Corporation; Westlake (TX); On-site; USD 120,000 - 170,000; Full time

Job summary

Charles Schwab Corporation is seeking a Branch Centralized Risk Supervisor. 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.

You will evaluate complex facts, identify emerging risks, and guide resolution while ensuring client protection and compliance with regulatory requirements.

Qualifications

• Active and valid FINRA Series 7 registration.
• Active and valid FINRA Series 63 registration.
• Active and valid Series 66 registration, or active Series 63 and Series 65.
• 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.

Responsibilities

• 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.

Skills

FINRA Series 7

FINRA Series 63

Series 66

Series 8/9/10

Bachelor's degree

Supervisory experience

Regulatory knowledge

Education

Bachelor's degree or equivalent

Job description

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

What you have

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.