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We believe that , when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm, and the world. We live and bring to life the concept of 'own your tomorrow' every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed. As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible, and understandable for all. As we enter our fifth decade, we are looking for talented, innovative, and driven people who believe they can help themselves, and our clients, create a better future. Supervision & Controls is an independent group responsible for providing delegated review of control and risk mitigation functions to Schwab's Investor Services. The vision of Supervision & Controls is to be a trusted independent partner of all Schwab stakeholders that promotes business growth through effective risk management. We strive to improve business outcomes by providing and applying practical, consistent, effective and unbiased risk guidance that is grounded in a deep understanding of business goals as well as the regulatory and industry environment. We are looking for a Centralized Risk Supervisor within the Supervision and Controls organization. Work includes daily supervision of Client Service & Support activities, inclusive of trading, communications, operational and other approvals/reviews as needed. This is an Individual Contributor role reporting to the Sr. Team Manager, Supervision & Controls What you are good atWe are looking for a Centralized Risk Supervisor (CRS) within the Supervision & Controls Department to support the daily supervision of Client Service & Support (CS&S) of the Investor Services enterprise. This position is responsible for performing all assigned supervisory functions in accordance with policies and procedures as well as industry rules and regulations including, but not limited to, review of account exceptions, trading and correspondence as needed. The CRS must possess the skills necessary to work with business partners across the firm and therefore should be able to build and maintain effective working relationships with various levels of personnel, including colleagues and senior leadership. A successful CRS will have a working knowledge of standard industry and regulatory policies and procedures. The successful candidate will have proven oversight skills including the ability to analyze data and report on trends; be capable of identifying key risks & resolution steps; able to handle multiple, potentially conflicting priorities in a fast-paced environment; and work collaboratively with all levels of management. In addition, a successful candidate must have the ability to operate in a fast-paced environment and make decisions based on sound business judgment, with information at hand. Responsibilities include:- Providing daily supervision of designated activities
- Identifying, escalating and addressing issues and potential trends and outlier behaviors
- Providing advice and guidance on relevant firm policies and procedures
- 5+ years' supervision experience
- Strong communication, influencing, and relationship skills, including experience working with all levels of management
- Strong knowledge and understanding of compliance and regulatory requirements applicable to the brokerage/investment advisory industry
- Time management, organization, and prioritization skills
- The ability to work under intensive deadlines
- Bachelor's degree or equivalent work experience
- Active and valid Series 7, 63, 8 (9/10) required
- Active Series 66 (63/65) preferred
- Active and valid Series 3 preferred
- Active and valid Series 34 preferred