Senior Retail Risk & QA Leader (Hybrid) - Training & Growth

Charles Schwab; Austin (TX); Hybrid; USD 150,000 - 210,000; Full time

Benefits offered by this job

401(k) match

Employee stock purchase plan

Vacation & volunteering time

Sabbatical after 5 years

Parental leave

Tuition reimbursement

Health insurance

Dental insurance

Vision insurance

Job summary

Schwab is seeking an experienced supervisor in Retail Supervision and Risk Management (RSRM) to independently assess supervisory activities and risk management programs against WSPs and regulatory standards. You will lead QA reviews, design training, and evolve programs using AI and automation.

The role requires FINRA licensing, deep risk knowledge, and a track record of developing others in a fast-paced environment with hybrid work in the Austin area.

Qualifications

• Required licenses: Series 7, 9/10 or 24.
• 8–10+ years retail broker-dealer supervisory experience.
• 10+ years in financial services risk management, compliance, or audit.
• 5+ years in training, learning and development or supervisory/regulatory oversight.
• Strong knowledge of FINRA, SEC, and securities regulatory requirements.
• Experience supervising or advising on controls for complex products.
• Experience conducting QA reviews, audits or risk assessments.
• Excellent analytical, written and verbal communication skills.
• Ability to facilitate training and knowledge-sharing sessions.
• Strong organization and ability to manage multiple priorities.
• Proficiency with Microsoft Word, Excel and PowerPoint.

Responsibilities

• Conduct risk-based QA reviews of supervisory and risk management programs.
• Evaluate adherence to WSPs, regulatory requirements and internal standards.
• Assess documentation quality, risk identification, supervisory judgment and escalation.
• Translate observations into targeted coaching and program enhancements.
• Support onboarding and professional development through training program design and delivery.
• Build supervisor readiness for complex products with learning content and guidance.
• Evolve QA and Learning & Development programs to meet regulatory needs.
• Leverage AI and automation to streamline processes and scale impact.
• Present QA findings clearly to leaders and business partners.

Skills

Series 7

Series 9/10

Series 24

Retail supervision

Risk management

FINRA knowledge

Training skills

Communication

Presentation skills

Project management

Microsoft Word

Microsoft Excel

PowerPoint

Tools

Microsoft Word

Microsoft Excel

PowerPoint

Job description

Schwab is seeking an experienced supervisor in Retail Supervision and Risk Management (RSRM) to independently assess supervisory activities and risk management programs against WSPs and regulatory standards. You will lead QA reviews, design training, and evolve programs using AI and automation.

The role requires FINRA licensing, deep risk knowledge, and a track record of developing others in a fast-paced environment with hybrid work in the Austin area.