Senior Risk Leader, Branch & Advisory

Charles Schwab; Orlando (FL); Hybrid; USD 120,000 - 180,000; Full time

Benefits offered by this job

401(k) with company match

Employee stock purchase plan

Parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab in Orlando, FL is seeking a Branch Centralized Risk Supervisor to oversee branch activities, including trading and investment recommendations, and to guide risk decisions across the Investor Services organization. You will evaluate complex situations, identify emerging risks, and provide clear guidance to protect clients and support smart business choices.

This is an individual contributor role with broad visibility.

Qualifications

• Active FINRA registrations required for licensure.
• “Bachelor’s degree or equivalent work experience”.
• Five+ years of supervisory experience in brokerage or investment advisory.

Responsibilities

• Provide centralized supervisory oversight for branch activities including trading and investment recommendations.
• Evaluate complex facts and trends to determine risk severity and guide resolution.
• Assess whether recommendations and offers are suitable, considering enrollment factors and fees.
• Identify emerging risks and help partners respond before concerns escalate.
• Apply regulatory knowledge to deliver practical, well-reasoned guidance.
• Partner with employees and leaders to promote responsible risk decisions.
• Communicate complex risk matters clearly and effectively.
• Use AI-enabled tools to strengthen analysis, documentation, and efficiency.
• Maintain knowledge of regulatory developments and evolving business risks.

Skills

FINRA Series 7

FINRA Series 63

Series 66 (or 63+65)

Series 8/9/10 equivalents

Regulatory knowledge

Risk assessment

Regulatory communications

Stakeholder collaboration

Education

Bachelor’s degree or equivalent

Tools

Microsoft Copilot

Job description

Charles Schwab in Orlando, FL is seeking a Branch Centralized Risk Supervisor to oversee branch activities, including trading and investment recommendations, and to guide risk decisions across the Investor Services organization. You will evaluate complex situations, identify emerging risks, and provide clear guidance to protect clients and support smart business choices.

This is an individual contributor role with broad visibility.