Senior Manager, Centralized Risk Supervisor - Wealth Advice Solutions
3 days ago
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HybridFull-timeSenior
Summary
Charles Schwab is seeking a Senior Manager, Centralized Risk Supervisor - Wealth Advice Solutions to join their team in Phoenix, AZ. The role involves performing supervisory-related functions and controls based on the activities performed by registered representatives at Schwab.
About the Role
As a Centralized Risk Supervisor within the Wealth Advice Solutions Risk & Governance organization, you will contribute to supervisory program reviews of electronic communications, product/service recommendations, trading activity, and trend reporting. You will collaborate with business partners across the firm, building effective working relationships with various levels of employees from client-facing representatives to Senior Leadership.
About You
Required:
- Active and valid Series 7 license
- Active and valid Series 66 license or equivalent
- Active and valid Series 9/10 license or equivalent
- 5+ years’ supervision/compliance/regulatory experience
- Bachelor’s degree or equivalent work experience
- Strong investment industry knowledge and understanding of compliance and regulatory requirements
Preferred:
- Strong communication and relationship management skills, including experience working with various levels of management
- Ability to develop collaborative working relationships and promote a risk-focused culture
- Strong and demonstrated time management, analytical, and organization skills
- Ability to operate in a fast-paced environment with the capacity to flex with business needs
- Strong understanding and industry knowledge around alternative investment assets
Benefits
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
Charles Schwab
Charles Schwab is a different kind of investment services firm – one that strives to disrupt the status quo of the traditional Wall Street approach on behalf of our clients. We believe today, as we did on Day 1, that when you find ways to improve the investing experience for your clients, then business results will follow. Follow our company culture at #SchwabLife and see how we give back at #Schwab4Good. Support hours: 7 a.m.–7 p.m. CT or 24/7 at schwab.com/contact-us. Social Media Disclosures: https://www.aboutschwab.com/social-media (#0424-TM8W)
Phoenix, AZ