Senior Risk & Learning Leader, QA & Training

Charles Schwab Corporation; Westlake (TX); Hybrid; USD 120,000 - 180,000; Full time

Benefits offered by this job

Bonus opportunities

Job summary

Charles Schwab Corporation seeks an experienced supervisor/auditor to strengthen Retail Supervision & Risk Management quality programs. You will assess supervisory activities, regulatory compliance, and risk controls, while coaching teams and expanding training content to scale with AI-enabled capabilities.

You will partner with senior leaders to translate findings into practical actions, supporting onboarding and professional growth in a fast-paced environment.

Qualifications

• Series7, 9/10, (or 24) licensing required.
• 8–10+ years of retail broker-dealer supervisory experience.
• 10+ years in financial services risk management, compliance, or audit.
• 5+ years in training, learning and development or related oversight.
• Strong knowledge of FINRA, SEC, and securities regulatory requirements.
• Experience supervising or advising on complex product controls.
• Experience with QA reviews, audits, examinations, or risk assessments.
• Excellent analytical and communication skills.

Responsibilities

• Conduct risk-based quality assurance reviews of supervisory and risk programs.
• Evaluate adherence to WSPs, regulatory requirements, and standards.
• Assess quality of supervisory documentation, risk identification, and escalation.
• Translate observations into targeted coaching and program enhancements.
• Support onboarding and professional development with training content.
• Develop learning content to build supervisor readiness for complex products.
• Evolve QA and learning programs to meet regulatory needs.
• Leverage AI and automation to streamline processes and increase capacity.
• Present QA findings clearly to leaders and partners.

Skills

Regulatory knowledge

Quality assurance

Training & development

Risk management

Communication skills

Tools

Microsoft Word

Microsoft Excel

PowerPoint

Job description

Charles Schwab Corporation seeks an experienced supervisor/auditor to strengthen Retail Supervision & Risk Management quality programs. You will assess supervisory activities, regulatory compliance, and risk controls, while coaching teams and expanding training content to scale with AI-enabled capabilities.

You will partner with senior leaders to translate findings into practical actions, supporting onboarding and professional growth in a fast-paced environment.