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About the Role

As part of the Retail Supervision & Risk Management (RSRM) Quality Assurance & Learning & Development team, you will help elevate the quality and effectiveness of Retail risk and supervisory programs while fostering a culture of continuous learning, professional growth, and supervisory excellence. We are seeking an experienced, FINRA-licensed supervisor, auditor, or examiner who can independently assess supervisory activities and risk management programs against Written Supervisory Procedures (WSPs), regulatory requirements, supervisory standards, and industry best practices. As Schwab expands AI-enabled capabilities, complex product offerings, and new business services, you will help evolve Retail Supervision & Risk Management's training and quality assurance programs to scale with the business, expand coverage, and maintain focus on the highest-risk activities and supervisory priorities, leveraging AI and technology to enhance efficiency, effectiveness, and program scalability. This is an ideal opportunity for an experienced supervisor who is passionate about developing others, embraces innovation, and thrives in a fast-paced, evolving environment. Success in this role requires a forward-looking mindset and the ability to leverage emerging technologies, including AI, to enhance supervisory effectiveness and scale impact.

Responsibilities

Conduct risk-based quality assurance reviews of supervisory and risk management programs and activities.
Evaluate adherence to applicable WSPs, regulatory requirements, policies and procedures, and established standards.
Assess the quality of supervisory documentation, risk identification, supervisory judgment, and escalation appropriateness.
Translate observations into targeted coaching, training, and program enhancements.
Support new hire onboarding and professional development through the design, delivery, and enhancement of training programs.
Build supervisor readiness for complex products by developing learning content, QA focus areas, and practical guidance.
Evolve quality assurance and learning & development programs in response to evolving business and regulatory needs.
Support program evolution and scalability initiatives by leveraging AI and automation.
Present QA findings with clarity and confidence, effectively conveying risks, trends, and recommendations to leaders and business partners.

Requirements

Series 7, 9/10, (or 24) licensing required
8–10+ years of retail broker-dealer supervisory experience as a licensed supervisor.
10+ years of experience in financial services risk management, compliance, or audit.
5+ years of experience in training, learning and development, or a related supervisory or regulatory oversight function.
Strong knowledge of FINRA, SEC, and securities regulatory and supervisory requirements.
Demonstrated complex product knowledge and experience supervising, assessing, or advising on controls related to complex products.
Experience conducting quality assurance reviews, audits, examinations, supervisory testing, or risk and control assessments.
Excellent analytical and critical-thinking skills.
Strong written, verbal communication, and presentation skills.
Demonstrated ability to facilitate training, coaching, or knowledge-sharing sessions.
Strong organization, attention to detail, and ability to manage multiple priorities.
Proficiency with Microsoft Word, Excel, and PowerPoint.
Strong supervisory judgment and risk awareness.
A passion for continuous learning and employee development.
The ability to influence without direct authority.
A collaborative and practical approach to problem-solving.
Accountability, professionalism, and sound decision-making.
A commitment to improving employee performance and supervisory effectiveness.
The ability to build trusted relationships, establish credibility, and develop strong partnerships.
The ability to thrive in a fast-paced, evolving environment, navigate ambiguity, and deliver high-quality results.

Skills

AI and technology utilization
Risk management
Quality assurance
Learning and development
Supervisory activities assessment
FINRA regulatory requirements
SEC regulatory requirements
Complex product knowledge
Analytical skills
Critical-thinking skills
Written communication
Verbal communication
Presentation skills
Training facilitation
Coaching
Knowledge sharing
Organization skills
Attention to detail
Time management
Microsoft Word proficiency
Microsoft Excel proficiency
Microsoft PowerPoint proficiency

Location

On-site

Work Type

Hybrid (4 days in-office, 1 day work from home)
Full-time

Experience Level

8-10+ years of retail broker-dealer supervisory experience
10+ years of experience in financial services risk management, compliance, or audit
5+ years of experience in training, learning and development

Salary/Compensations

Eligible for bonus or incentive opportunities

About the Company

At Schwab, you are 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.
Retail Supervision and Risk Management (RSRM) is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis, and supervisory risk assessments, to Schwab’s Investor Services. RSRM’s vision 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.