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About the Role

The Sales Supervision team supports Schwab’s Branch Network by helping business partners understand, execute, and improve supervisory practices that support regulatory obligations, business ethics, and risk management. As a Risk & Supervision Officer, you will serve as an independent partner to business leadership, field leaders, Compliance, Legal, and supervisory teams by identifying areas of concern, resolving day-to-day supervisory matters, and driving consistent risk-based decision-making.

Responsibilities

Work with the business and RSRM leadership on the communication, integration and implementation of supervisory initiatives.
Ensure business leadership is aware and involved in managing supervisory and risk management issues through regular meetings, reporting/metrics and escalations.
Serve as a point of escalation for employee conduct issues, policy violations and disciplinary considerations.
Communicate with Branch Managers, Team Managers, licensed reps and/or central delegate teams to resolve supervisory inquiries.
Coordinate with peers, field leaders, supervisors and analyst teams to identify trends and patterns across branches, regions and/or the business line.
Represent RSRM and demonstrate leadership through active participation on firm projects and working groups as assigned.
Initiate amendments to current policies and procedures as appropriate.
Build a high performance/high productivity work environment, prioritizes tasks and produces a strong work product.
Provide coaching and guidance to the field and business partners on policies and procedures in a way that promotes risk awareness and a strong culture of compliance.

Requirements

Active FINRA Series 7, 66 or 63/65, and 9/10 or 8 or 24/53/4 licenses
5+ years of experience in supervision and regulatory matters
Experience analyzing risk, identifying areas of concern, and applying sound judgment to resolve supervisory or compliance-related matters
Ability to make independent decisions, prioritize competing work, and follow through in a fast-paced environment with changing priorities
Strong written and verbal communication skills with the ability to engage business leaders, field partners, supervisors, and cross-functional teams
Prior leadership, team management, coaching, or mentoring experience
Experience supporting supervisory controls, policy implementation, procedure development, or risk mitigation activities
Ability to identify trends and patterns across branches, regions, or business lines and translate insights into meaningful recommendations
Strong candidates will have experience influencing partners, gaining support across business areas, and driving solutions with limited guidance
Proficiency with Microsoft Office applications, including Excel, Word, and PowerPoint
Demonstrated ability to work collaboratively, remain adaptable, and build effective working relationships across all levels of the organization

Skills

Risk analysis
Independent decision-making
Prioritization
Written communication
Verbal communication
Trend identification
Policy implementation
Procedure development
Risk mitigation
Influencing
Collaboration
Adaptability
Relationship building
Microsoft Office Suite (Excel, Word, PowerPoint)

Location

On-site

Work Type

On-site
Full-time

Experience Level

5+ years of experience

Education Level

Bachelor’s degree in Business, Accounting, Finance, or related discipline

Salary/Compensations

Eligible for bonus or incentive opportunities

About the Company

At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us challenge the status quo and transform the finance industry together.