Senior QA & Learning Lead, Retail Risk & Supervision

Charles Schwab; Austin (TX); Hybrid; USD 130,000 - 180,000; Full time

Benefits offered by this job

401(k) with company match

Employee stock purchase plan

Paid vacation and volunteering time

Sabbatical after 5 years

Parental leave & family benefits

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab in Austin is seeking an experienced Quality Assurance & Learning & Development leader within Retail Supervision & Risk Management. You will elevate risk and supervisory program quality and guide coaching, training, and scalable processes.

The role requires FINRA licensing, deep regulatory knowledge, and a track record of building effective QA programs in financial services. You will partner with senior leaders to drive continuous improvement and harness AI to scale risk oversight.

Qualifications

• Series 7, 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 in training, learning and development, or related supervision.
• Strong knowledge of FINRA, SEC, and securities regulatory requirements.
• Experience supervising, assessing, or advising on complex product controls.
• Experience conducting QA reviews, audits, or risk assessments.
• Excellent analytical, written, verbal and presentation skills.
• Strong organization and ability to manage multiple priorities.
• Proficiency with Microsoft Word, Excel, and PowerPoint.

Responsibilities

• Conduct risk-based QA reviews of supervisory programs and activities.
• Evaluate adherence to WSPs, regulations, policies and standards.
• Assess the quality of supervisory documentation, risk identification, escalation and judgment.
• Translate observations into targeted coaching and program enhancements.
• Support onboarding and professional development through training design and delivery.
• Build supervisor readiness for complex products with learning content and guidance.
• Evolve QA and learning programs to meet evolving regulatory needs.
• Leverage AI and automation to improve processes and coverage.
• Present QA findings clearly to leaders and partners.

Skills

Licensing (Series 7/9/10 or 24)

Broker-dealer supervision

Financial services risk management

Training & development

FINRA/SEC regulatory knowledge

Complex product knowledge

QA reviews & audits

Analytical & communication skills

Multi-priority organization

MS Office (Word, Excel, PowerPoint)

Tools

Microsoft Word

Excel

PowerPoint

Job description

Charles Schwab in Austin is seeking an experienced Quality Assurance & Learning & Development leader within Retail Supervision & Risk Management. You will elevate risk and supervisory program quality and guide coaching, training, and scalable processes.

The role requires FINRA licensing, deep regulatory knowledge, and a track record of building effective QA programs in financial services. You will partner with senior leaders to drive continuous improvement and harness AI to scale risk oversight.