Senior Manager, Centralized Risk Oversight – Wealth

Charles Schwab; Westlake (TX); On-site; USD 120,000 - 180,000; Full time

Job summary

Charles Schwab in Westlake, TX, seeks a Senior Manager in Centralized Risk Supervision to oversee activities of registered representatives within Wealth Advisory, Banking & Trust Services. You will assess risk, monitor behavior, and make timely decisions to protect clients and the firm.

Collaborating with service professionals and senior leaders, you will balance strategic oversight with hands-on supervision in a fast-paced environment, ensuring regulatory compliance and sound decision making.

Qualifications

• 5+ years of supervision experience in brokerage and investments
• Extensive knowledge of annuities, fixed income, and financial products
• Strong knowledge of compliance and regulatory requirements in brokerage/investment advisory
• Risk assessment, risk monitoring, and decision-making skills for reviewing activity
• Strong communication, influencing, and collaboration across all levels
• Ability to manage competing priorities and meet deadlines
• Bachelor’s degree or equivalent work experience
• Active and valid Series 7, Series 63, and Series 8 or Series 9/10 licenses
• Active and valid Series 66 or Series 63/65 licenses
• State Life and Health Insurance License or ability to obtain as a condition of employment

Responsibilities

• Provide oversight of activities performed by registered representatives
• Assess risk, identify patterns, and make timely decisions to protect clients and the firm
• Collaborate with service professionals and senior leaders across the organization
• Balance strategic oversight with hands-on supervisory responsibilities in a fast-paced environment
• Ensure compliance with regulatory requirements and industry standards

Skills

Supervision experience

Risk assessment

Regulatory knowledge

Communication & influence

Decision making under deadlines

Bachelor’s degree or equivalent

Licenses: Series 7/63/8/9/10

Licenses: Series 66/63/65

Life & Health Insurance license

Education

Bachelor’s degree or equivalent

Tools

Series 7

Series 63

Series 8/9/10

Series 66/63/65

Job description

Charles Schwab in Westlake, TX, seeks a Senior Manager in Centralized Risk Supervision to oversee activities of registered representatives within Wealth Advisory, Banking & Trust Services. You will assess risk, monitor behavior, and make timely decisions to protect clients and the firm.

Collaborating with service professionals and senior leaders, you will balance strategic oversight with hands-on supervision in a fast-paced environment, ensuring regulatory compliance and sound decision making.