Senior Risk & Supervision Specialist (Hybrid)

Charles Schwab; Indianapolis (IN); Hybrid; USD 100,000 - 140,000; Full time

Benefits offered by this job

401(k) with company match

Paid time for vacation and volunteering

28-day sabbatical every 5 years

Paid parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

A leading financial services firm is looking for a Risk and Supervision Officer to enhance supervisory support within the Client Service department. The candidate should have over 5 years of supervisory or risk management experience and hold necessary certifications such as Series 7 and Series 9/10. Responsibilities include risk analysis, communication, and project management in a fast-paced environment. The firm offers a competitive benefits package and supports professional growth.

Qualifications

• Minimum of 5 years’ experience in supervisory, control, risk management or compliance.
• Active and valid Series 7 certification.
• Active and valid Series 9/10 (8) or 24/4/53 certification.

Responsibilities

• Performing data and risk analysis for follow up and reporting.
• Identifying and addressing issues and potential trends.
• Providing advice on relevant firm policies and procedures.
• Utilizing critical thinking skills to problem solve.
• Working independently on multiple projects.

Skills

Supervisory experience

Risk management

Compliance knowledge

Data analysis

Project management

Communication skills

Job description

A leading financial services firm is looking for a Risk and Supervision Officer to enhance supervisory support within the Client Service department. The candidate should have over 5 years of supervisory or risk management experience and hold necessary certifications such as Series 7 and Series 9/10. Responsibilities include risk analysis, communication, and project management in a fast-paced environment. The firm offers a competitive benefits package and supports professional growth.