Strategic Branch Risk Supervisor Centralized Oversight

Charles Schwab Corporation; Westlake (TX); On-site; USD 120,000 - 170,000; Full time

Job summary

Charles Schwab Corporation is seeking a Branch Centralized Risk Supervisor. In this individual contributor role, you will provide centralized supervisory oversight for branch activities including trading, investment recommendations, electronic communications, operational matters, and delegated approvals.

You will evaluate complex facts, identify emerging risks, and guide resolution while ensuring client protection and compliance with regulatory requirements.

Qualifications

• Active and valid FINRA Series 7 registration.
• Active and valid FINRA Series 63 registration.
• Active and valid Series 66 registration, or active Series 63 and Series 65.
• Active and valid Series 8 or Series 9 and Series 10 registrations, or an accepted equivalent.
• Bachelor’s degree or equivalent work experience.
• Five or more years of supervisory experience within the brokerage or investment advisory industry.
• Working knowledge of regulatory and compliance requirements applicable to retail brokerage and investment advisory businesses.

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 appropriate resolution.
• Help protect clients by assessing whether recommendations and related offers are suitable, including consideration of enrollment factors and fees.
• Identify emerging risks that could affect Schwab’s branch network or broader business and help partners respond before concerns become larger issues.
• Apply regulatory, industry, and Schwab policy knowledge to deliver practical, well-reasoned guidance.
• Partner with employees and leaders across the firm to promote responsible decisions and consistent risk practices.
• Communicate complex or sensitive risk matters clearly, respectfully, and effectively.
• Use available technology, including AI-enabled tools, to strengthen analysis, documentation, and efficiency.
• Continue building your knowledge of regulatory developments, industry practices, and evolving business risks.

Skills

FINRA Series 7

FINRA Series 63

Series 66

Series 8/9/10

Bachelor's degree

Supervisory experience

Regulatory knowledge

Education

Bachelor's degree or equivalent

Job description

Charles Schwab Corporation is seeking a Branch Centralized Risk Supervisor. In this individual contributor role, you will provide centralized supervisory oversight for branch activities including trading, investment recommendations, electronic communications, operational matters, and delegated approvals.

You will evaluate complex facts, identify emerging risks, and guide resolution while ensuring client protection and compliance with regulatory requirements.