Senior QA & Learning Leader, Risk & Controls (Hybrid)

Charles Schwab; Omaha (NE); Hybrid; USD 120,000 - 150,000; Full time

Benefits offered by this job

401(k) with company match

Employee stock purchase plan

Paid time off and sabbatical after 5 y

Parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab is hiring for a Retail Supervision & Risk Management role based in Omaha with a hybrid schedule (4 days in-office, 1 day remote). The team focuses on risk-based QA, supervisory oversight, and learning programs to strengthen risk controls across investor services.

The ideal candidate has extensive FINRA/SEC knowledge, senior supervisory experience, and a passion for teaching others while leveraging AI to scale risk management.

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 supervisory/regulatory oversight.
• Strong knowledge of FINRA, SEC, and securities regulatory and supervisory requirements.
• Experience supervising or advising on complex product controls as Schwab grows its offerings.
• Experience conducting quality assurance reviews, audits, examinations, or risk and control assessments.
• Excellent analytical and critical-thinking skills; identify risks, patterns and trends.
• Strong written, verbal communication and presentation skills to senior leaders.
• Ability to facilitate training, coaching, or knowledge-sharing sessions.
• Strong organization and attention to detail 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 WSPs, regulatory requirements, policies and procedures, and established standards.
• Assess the quality of supervisory documentation, risk identification, supervisory judgment, and escalation adequacy.
• Translate observations into targeted coaching, training, and program enhancements.
• Support new hire onboarding and professional development through design and delivery of training programs.
• Build supervisor readiness for complex products by developing learning content and practical guidance.
• Evolve QA and learning & development programs in response to evolving needs.
• Support program evolution and scalability by leveraging AI and automation to streamline processes.
• Present QA findings clearly to leaders and business partners.

Skills

FINRA knowledge

Securities rules

Supervisory experience

Risk management

Auditing

Quality assurance

Training & development

Complex product knowledge

Analytical thinking

Communication skills

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

Tools

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

Job description

Charles Schwab is hiring for a Retail Supervision & Risk Management role based in Omaha with a hybrid schedule (4 days in-office, 1 day remote). The team focuses on risk-based QA, supervisory oversight, and learning programs to strengthen risk controls across investor services.

The ideal candidate has extensive FINRA/SEC knowledge, senior supervisory experience, and a passion for teaching others while leveraging AI to scale risk management.