Senior QA & Learning Lead — Risk, Supervision & Compliance

Charles Schwab

Orlando (FL)

Hybrid

USD 130,000 - 180,000

Full time

7 days ago

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Job summary

Charles Schwab in Orlando is seeking an experienced supervisor/auditor with FINRA licensing to oversee risk management and supervisory QA programs. You will evaluate adherence to WSPs, drive coaching, and design training to develop risk expertise across complex products.

The role emphasizes on-site collaboration with a hybrid schedule (4 days in-office, 1 day remote) and opportunities to scale QA programs using AI and automation. Strong communication and leadership are essential.

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 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.
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.

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 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.