Senior Risk Leader – Branch Centralized (Hybrid)

Charles Schwab; Westlake (TX); On-site; USD 110,000 - 140,000; Full time

Benefits offered by this job

401(k) with company match

Sabbatical after 5 years

Parental leave and family benefits

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab is seeking a Branch Centralized Risk Supervisor to lead risk decisions for its branch network and Investor Services organization. The role centers on evaluating complex risk, guiding resolution, and ensuring suitable client outcomes across trading, recommendations, and communications.

You will collaborate with frontline professionals and senior stakeholders, balancing regulatory expectations with business needs while leveraging AI tools to improve analysis and documentation.

Qualifications

• Active FINRA Series 7 registration.
• Active FINRA Series 63 registration.
• Active Series 66 registration (or Series 63 and Series 65).
• Active Series 8 or Series 9 and Series 10, or equivalent.

Responsibilities

• Provide centralized supervisory oversight for branch activities, including trading, investment recommendations, electronic communications, operational matters, and delegated approvals.
• Evaluate complex facts, behaviors, and trends to determine risk severity, identify root causes, and guide resolution.
• Assess whether recommendations and related offers are suitable, including enrollment factors and fees.
• Identify emerging risks affecting Schwab’s branch network or broader business and help partners respond.
• Apply regulatory, industry, and Schwab policy knowledge to deliver practical guidance.
• Partner with employees and leaders across the firm to promote responsible decisions and consistent risk practices.
• Communicate complex risk matters clearly and effectively.
• Use AI-enabled tools to strengthen analysis, documentation, or workflow efficiency.
• Continue building knowledge of regulatory developments and evolving business risks.

Education

Bachelor’s degree or equivalent work experience

Job description

Charles Schwab is seeking a Branch Centralized Risk Supervisor to lead risk decisions for its branch network and Investor Services organization. The role centers on evaluating complex risk, guiding resolution, and ensuring suitable client outcomes across trading, recommendations, and communications.

You will collaborate with frontline professionals and senior stakeholders, balancing regulatory expectations with business needs while leveraging AI tools to improve analysis and documentation.