Senior Manager, Risk & QA Training (FINRA Licensed)

Charles Schwab; Westlake (TX); Hybride; USD 110 000 - 160 000; Plein temps

Avantages offerts par ce poste

401(k) with company match

Employee stock purchase plan

Paid vacation and sabbatical programs

Tuition reimbursement

Health, dental, and vision insurance

Résumé du poste

Charles Schwab seeks an experienced supervisor in Retail Supervision & Risk Management to elevate risk and supervisory programs. You will assess regulatory compliance, coach teams, and shape QA practices for complex product offerings in a fast-paced environment.

Hybrid work with on-site collaboration is available, and you will help scale learning initiatives through AI-enabled tools. The role requires extensive licensing, risk, and training expertise, with a focus on continuous improvement and

Qualifications

• Series7, 9/10, (or 24) licensing required.
• 8-10+ years of retail broker-dealer supervisory experience as a licensed supervisor.
• 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 related to complex products as Schwab continues to grow and evolve its product offerings.
• 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, with the ability to credibly communicate observations and recommendations to senior leaders and influence positive risk outcomes.
• Demonstrated ability to facilitate training, coaching, or knowledge-sharing sessions.
• Strong organization, attention to detail, and ability to manage multiple priorities in a fast-paced environment.
• Proficiency with Microsoft Word, Excel, and PowerPoint.

Responsabilités

• 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 as Schwab continues to expand its product offerings.
• 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.

Connaissances

Series7 license

Broker-dealer supervision

FINRA/SEC knowledge

Training & L&D

QA/audit experience

Analytical thinking

Communication skills

Presentation skills

Training facilitation

Time management

Outils

Microsoft Word

Excel

PowerPoint

Description du poste

Charles Schwab seeks an experienced supervisor in Retail Supervision & Risk Management to elevate risk and supervisory programs. You will assess regulatory compliance, coach teams, and shape QA practices for complex product offerings in a fast-paced environment.

Hybrid work with on-site collaboration is available, and you will help scale learning initiatives through AI-enabled tools. The role requires extensive licensing, risk, and training expertise, with a focus on continuous improvement and