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About the Role
Serve as the primary 1st Line of Defense (1LOD) control point for determining regulatory supervision requirements for enterprise-wide and retail-facing models (including AI/ML and rules-based systems). Ensure model-driven activities align with regulatory expectations and are supported by effective supervisory controls, guardrails, evaluations, and policies. Act as a key subject matter expert (SME) partnering across departments to evaluate model use cases, identify regulatory risks, and implement practical, scalable control frameworks.
Responsibilities
- Serve as the central supervisory authority for retail and enterprise models impacting internal and external interactions, recommendations, and account activity.
- Assess and approve/deny models prior to planned deployment.
- Evaluate AI and analytical models to identify regulatory, client, and business operational risks.
- Participate in working groups as the supervision SME.
- Develop/refine supervisory guardrails and evaluations for model-enabled workflows.
- Determine and align on thresholds, severity methodology, and escalation protocols.
- Develop and maintain a model supervision framework, including risk tiering, model classification, guardrail standards, and human-in-the-loop intervention requirements.
- Define clear ownership and accountability structures across first-line and second-line partners.
- Assess and provide modification recommendations to Model Whitepapers, Workflows, and other applicable artifacts.
- Translate regulatory requirements into operationally practical, scalable, testable controls.
- Design and implement preventive, detective, triage, and directive controls aligned to model risks.
- Construct supervisory controls in partnership with Retail Business Unit Supervision SMEs.
- Ensure audit and exam readiness, including documentation, evidence, and rationales for supervisory approaches, in partnership with Compliance.
- Establish ongoing monitoring and surveillance strategies for model outputs and outcomes.
- Calibrate on testing frameworks with Product and Compliance partners.
- Use data insights to refine controls, adjust guardrails, and mitigate emerging risks.
- Develop targeted training programs for supervisors and frontline teams on AI usage, risks, and personnel responsibilities.
- Develop policies and WSPs to reflect evolving AI-enabled supervision practices.
Requirements
- 8–12+ years in broker-dealer and/or investment advisor supervision, risk management, or compliance, with a strong retail focus.
- Demonstrated experience with Reg BI, DOL fiduciary standards, communications supervision, and/or money movement controls.
- Hands-on involvement in AI/ML model risk management or model governance.
- Experience designing and implementing supervisory controls in a regulated financial services environment.
- FINRA Series 7, 66, and 9/10 (or equivalent).
- Direct experience overseeing AI-enabled or automated recommendation systems (preferred).
- Familiarity with model validation, explainability, and governance considerations (preferred).
- Experience with regulatory exams, internal audits, and remediation programs related to model or supervisory risk (preferred).
Skills
- Regulatory translation
- Risk-based thinking
- Model literacy
- Supervisory design
- Influence & collaboration
- Communication
Location
- Listed areas only
Work Type
- Hybrid
- M-F during standard business hours
- 4 days in-office, 1 day working from home
Experience Level
- Senior Manager
About the Company
- At Schwab, you’re empowered to make an impact on your career.
- Innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
Equal Opportunity
- Applicants must be currently authorized to work in the United States on a full-time basis without employer sponsorship.