Senior Retail Supervision, Risk & Learning Leader

Charles Schwab; Phoenix (AZ); Hybrid; USD 110,000 - 170,000; Full time

Benefits offered by this job

401(k) with company match

Employee stock purchase plan

Paid time off

Sabbatical after 5 years

Parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab is seeking an experienced leader for Retail Supervision & Risk Management QA & Learning & Development. The role focuses on independent assessment of supervisory activities against WSPs and regulatory requirements, using AI-enabled capabilities to scale training and risk oversight.

Hybrid in-office and remote work options apply in listed locations. The ideal candidate brings FINRA licensing, extensive risk management and supervisory experience, and a passion for coaching and

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 training, learning and development, or related supervisory/regulatory oversight.
• Strong knowledge of FINRA, SEC, and securities regulatory/supervisory requirements.
• Experience supervising or advising on controls related to complex products.
• Experience conducting QA reviews, audits, examinations, or risk assessments.
• Excellent analytical, written and verbal communication, and presentation skills.
• Ability to facilitate training, coaching, or knowledge-sharing sessions.
• Strong organizational skills and multitasking in fast-paced environments.
• Proficiency with Word, Excel, and PowerPoint.

Responsibilities

• Conduct risk-based QA reviews of supervisory/risk management programs and activities.
• Evaluate adherence to WSPs, regulatory requirements, and policies.
• Assess quality of supervisory documentation, risk identification, and escalation.
• Translate observations into targeted coaching, training, and program enhancements.
• Support onboarding and development through design and delivery of training programs.
• Build supervisor readiness for complex products with learning content and guidance.
• Evolve QA and learning programs in response to regulatory needs.
• Leverage AI and automation to streamline processes and scale impact.
• Present QA findings with clarity to leaders and partners.

Skills

FINRA knowledge

Regulatory oversight

Training delivery

Quality assurance

Risk management

Audit experience

Communication

Project coordination

Microsoft Office

Tools

Microsoft Word

Excel

PowerPoint

Job description

Charles Schwab is seeking an experienced leader for Retail Supervision & Risk Management QA & Learning & Development. The role focuses on independent assessment of supervisory activities against WSPs and regulatory requirements, using AI-enabled capabilities to scale training and risk oversight.

Hybrid in-office and remote work options apply in listed locations. The ideal candidate brings FINRA licensing, extensive risk management and supervisory experience, and a passion for coaching and