Senior Manager, Retail Risk & QA Excellence

Charles Schwab Corporation; Westlake (TX); Hybrid; USD 120,000 - 160,000; Full time

Job summary

Charles Schwab Corporation in Westlake, TX seeks an experienced supervisor to join Retail Supervision & Risk Management (RSRM) Quality Assurance & Learning & Development. You will assess supervisory activities, risk programs, and regulatory compliance, while advancing QA through AI-enabled training and scalable processes.

This hybrid role (4 days in-office, 1 day remote) requires FINRA licensing and deep experience in risk, audits, and training delivery.

Qualifications

• Series7, 9/10, (or 24) licensing required.
• 8–10+ years of retail broker-dealer supervisory experience.
• 10+ years of experience in financial services risk management, compliance, or audit.
• 5+ years of experience in training, learning and development, or a related supervisory or regulatory oversight function.
• Strong knowledge of FINRA, SEC, and securities regulatory and supervisory requirements.
• Demonstrated complex product knowledge and experience supervising, assessing, or advising on controls.
• Experience conducting quality assurance reviews, audits, examinations, supervisory testing, or risk and control assessments.
• Excellent analytical and critical-thinking skills, with the ability to identify risks, patterns and trends, and improvement opportunities.
• Strong written, verbal communication, and presentation skills.

Responsibilities

• Conduct risk-based quality assurance reviews of supervisory and risk management programs and activities.
• Evaluate adherence to applicable WSPs, regulatory requirements, policies and procedures, and established standards.
• Assess the quality of supervisory documentation, risk identification, supervisory judgment, and escalation appropriateness—not simply whether an activity was completed.
• Translate observations into targeted coaching, training, and program enhancements.
• Support new hire onboarding and professional development through the design, delivery, and enhancement of training programs that build risk and supervisory expertise.
• Build supervisor readiness for complex products by developing learning content, QA focus areas, and practical guidance that support effective oversight.
• Evolve quality assurance and learning & development programs in response to evolving business and regulatory needs.
• Support program evolution and scalability initiatives by leveraging AI and automation to streamline processes, increase capacity, and enhance business impact.
• Present QA findings with clarity and confidence, effectively conveying risks, trends, and recommendations to leaders and business partners.

Skills

Series7/9/10/24 license

Retail broker-dealer supervisory

Financial services risk management //

Training and development

FINRA & SEC regulatory knowledge

Communication and presentation

Analytical and critical thinking

Influence without direct authority

Priority management

MS Word/Excel/PowerPoint proficiency

Tools

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

Job description

Charles Schwab Corporation in Westlake, TX seeks an experienced supervisor to join Retail Supervision & Risk Management (RSRM) Quality Assurance & Learning & Development. You will assess supervisory activities, risk programs, and regulatory compliance, while advancing QA through AI-enabled training and scalable processes.

This hybrid role (4 days in-office, 1 day remote) requires FINRA licensing and deep experience in risk, audits, and training delivery.