Senior Risk Supervision Manager - Hybrid/Onsite

Charles Schwab; Orlando (FL); On-site; USD 150,000 - 190,000; Full time

Benefits offered by this job

401(k) with company match

Paid time off and sabbatical after 5 y

Parental leave and family benefits

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab in Orlando, FL is seeking a Senior Manager, Centralized Risk Supervision to oversee registered representative activities and strengthen risk controls across Wealth Advisory, Banking & Trust Services.

The role emphasizes risk assessment, regulatory knowledge, and collaboration with service professionals and senior leaders in a fast-paced environment. A strong track record in supervision and licensing is required.

Qualifications

• 5+ years supervision experience in annuity and product supervision.
• Extensive knowledge of annuities, fixed income, and financial products.
• Strong knowledge of compliance and regulatory requirements applicable to brokerage and investment advisory industry
• Demonstrated Risk Assessment, Risk Monitoring, and Decision Making skills when reviewing registered representative activity
• Strong Communication, Influencing Others, and Building Collaborative Relationships skills across all levels of an organization
• Ability to manage competing priorities and make sound decisions under intensive deadlines
• Bachelor’s degree or equivalent work experience
• Active and valid Series 7, Series 63, and Series 8 or Series 9/10 licenses
• Active and valid Series 66 or Series 63/65 licenses
• State Life and Health Insurance License or ability to obtain the license as a condition of employment

Responsibilities

• Provide oversight of activities performed by registered representatives.
• Assess risk, identify patterns, and make timely decisions to protect clients and the firm.
• Collaborate across service professionals to senior leaders.
• Balance strategic oversight with hands-on supervisory responsibilities in a fast-paced environment

Skills

Annuities knowledge

Fixed income knowledge

Regulatory knowledge

Risk assessment

Communication

Time management

Leadership

Licensing knowledge

Education

Bachelor’s degree

Job description

Charles Schwab in Orlando, FL is seeking a Senior Manager, Centralized Risk Supervision to oversee registered representative activities and strengthen risk controls across Wealth Advisory, Banking & Trust Services.

The role emphasizes risk assessment, regulatory knowledge, and collaboration with service professionals and senior leaders in a fast-paced environment. A strong track record in supervision and licensing is required.