Senior QA & Learning Leader, Risk & Supervision

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

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.