Senior Manager, Supervision & Controls - Quality Assurance and Learning Development

Charles Schwab Corporation; Westlake (TX); Hybrid; USD 120,000 - 180,000; Full time

Job summary

Charles Schwab Corporation in Texas is seeking an experienced supervisor/auditor with FINRA licensing to lead risk-based QA reviews of supervisory programs. The role emphasizes regulatory compliance, coaching, and scalable training in a fast-paced environment.

Ideal candidates bring extensive financial services risk management experience, strong communication, and the ability to leverage AI for process improvements.

Qualifications

• Licensing required: Series7, 9/10, or 24.
• 10+ years in financial services risk management, compliance, or audit.
• 5+ years in training, learning and development or supervisory oversight.
• Strong knowledge of FINRA, SEC, and securities regulatory requirements.
• Experience supervising, auditing, or risk/control assessments.

Responsibilities

• Conduct risk-based quality assurance reviews of supervisory and risk management programs.
• Evaluate adherence to WSPs, regulatory requirements, policies and procedures.
• Assess quality of supervisory documentation, risk identification, and escalation.
• Translate findings into targeted coaching, training, and program enhancements.
• Support onboarding and professional development through training program design and delivery.
• Develop learning content to build supervisor readiness for complex products.
• Evolve QA and learning programs to respond to regulatory needs.
• Leverage AI and automation to streamline processes and scale impact.
• Present QA findings clearly to leaders and partners.

Skills

Series7 license

9/10 license

24 license

FINRA knowledge

risk management

training & development

communication skills

analytical thinking

Tools

Microsoft Word

Microsoft Excel

PowerPoint

Job description

Your Opportunity

At Schwab, you are empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.

We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location.

Please note: This position is Monday-Friday during standard business hours with a hybrid work model (4 days in-office, 1 day working from home). It is only available in the areas listed. Candidate must reside or be willing to relocate on their own to one of the listed areas. Applicants must be currently authorized to work in the United States on a full-time basis without employer sponsorship.

Retail Supervision and Risk Management (RSRM) is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis, and supervisory risk assessments, to Schwab’s Investor Services. RSRM’s vision is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective, and unbiased risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment.

As part of the Retail Supervision & Risk Management (RSRM) Quality Assurance & Learning & Development team, you will help elevate the quality and effectiveness of Retail risk and supervisory programs while fostering a culture of continuous learning, professional growth, and supervisory excellence. We are seeking an experienced, FINRA-licensed supervisor, auditor, or examiner who can independently assess supervisory activities and risk management programs against Written Supervisory Procedures (WSPs), regulatory requirements, supervisory standards, and industry best practices.

As Schwab expands AI-enabled capabilities, complex product offerings, and new business services, you will help evolve Retail Supervision & Risk Management's training and quality assurance programs to scale with the business, expand coverage, and maintain focus on the highest-risk activities and supervisory priorities, leveraging AI and technology to enhance efficiency, effectiveness, and program scalability.

This is an ideal opportunity for an experienced supervisor who is passionate about developing others, embraces innovation, and thrives in a fast-paced, evolving environment. Success in this role requires a forward-looking mindset and the ability to leverage emerging technologies, including AI, to enhance supervisory effectiveness and scale impact.

WhatYou’llDo

• 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.

What you have

To ensure that we have fulfilled our promise of \"challenging the status quo\", this role has specific qualifications that successful candidates should have.

Required 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 toidentifyrisks, 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 tofacilitatetraining, coaching, or knowledge-sharing sessions.


• Strong organization, attention to detail, and ability to manage multiple priorities in a fast-paced environment.


• Proficiencywith Microsoft Word, Excel, and PowerPoint.

Success in This Role

• Strong supervisory judgment and risk awareness.


• A passion for continuous learning and employee development.


• The ability to influence without direct authority.


• A collaborative and practical approach to problem-solving.


• Accountability, professionalism, and sound decision-making.


• A commitment to improving employee performance and supervisory effectiveness.


• The ability to build trusted relationships, establish credibility, and develop strong partnerships across all levels of the organization.


• The ability to thrive in a fast-paced, evolving environment, navigate ambiguity, and deliver high-quality results with speed and consistency.

In addition to the salary range, this role is also eligible for bonus or incentive opportunities.