Wealth Advisory: Centralized Supervision Lead

Charles Schwab Corporation

Westlake (TX)

Hybrid

USD 140,000 - 180,000

Full time

3 days ago

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Job summary

Charles Schwab Corporation in Westlake, TX, is seeking a Centralized Supervision Team Manager to lead a team conducting supervisory reviews across advisory recommendations, trading, and related activities. This hybrid role requires strong risk-based judgment, regulatory knowledge, and cross-functional collaboration to protect clients and support growth.

You will develop talent, guide complex decisions, and partner with Legal, Compliance, Risk, product, and leadership to improve supervision

Qualifications

Active FINRA licenses (Series 7, 9/10, and 66) or equivalent.
5+ years of supervisory experience in a registered investment adviser, broker-dealer, or integrated financial services environment.
Knowledge of broker-dealer and investment adviser business models and regulatory requirements.
Ability to apply risk-based judgment to complex supervisory matters, including escalations and quality reviews.
Strong written and verbal communication, explaining risk considerations clearly.

Responsibilities

Lead and develop people: Build a high-performing team performing delegated supervisory reviews.
Execute effective supervision: Oversee quality, trend analysis, and escalation processes.
Strengthen programs and controls: Evaluate and strengthen supervisory controls and procedures.
Partner across the organization: Collaborate with Legal, Compliance, Risk, Product, and leadership on supervision strategy.