Senior Manager, Centralized Risk & Supervisory Controls

Charles Schwab Corporation; Orlando (FL); On-site; USD 120,000 - 180,000; Full time

Job summary

Charles Schwab Corporation is seeking a Senior Manager, Centralized Risk Supervision within Wealth Advisory, Banking & Trust Services to provide critical oversight of registered representative activities, including electronic communications, trading, and product/service recommendations.

The role requires product expertise, regulatory knowledge, and sound judgment to assess risk, identify patterns, and make timely decisions, with strong collaboration across service professionals and senior

Qualifications

• 5+ years of supervision experience, including annuity and product supervision.
• Extensive knowledge of annuities, fixed income, and financial products.
• Strong knowledge of compliance and regulatory requirements applicable to the brokerage and investment advisory industry.
• Demonstrated Risk Assessment, Risk Monitoring, and Decision Making skills when reviewing registered representative activity.
• Strong Communication, Influencing Others, and Building Collaborative Relationships skills across all levels of an organization.
• Ability to manage competing priorities and make sound decisions under intensive 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 the license as a condition of employment.

Responsibilities

• Provide oversight of activities performed by registered representatives.
• Assess risk, identify patterns, and make timely supervisory decisions.
• Collaborate across service professionals to balance strategic and hands-on supervisory responsibilities.
• Maintain regulatory compliance and reporting for brokerage and investment advisory activities.

Skills

Risk assessment

Regulatory knowledge

Communication

Collaboration

Prioritization

Education

Bachelor's degree or equivalent

Job description

Charles Schwab Corporation is seeking a Senior Manager, Centralized Risk Supervision within Wealth Advisory, Banking & Trust Services to provide critical oversight of registered representative activities, including electronic communications, trading, and product/service recommendations.

The role requires product expertise, regulatory knowledge, and sound judgment to assess risk, identify patterns, and make timely decisions, with strong collaboration across service professionals and senior