Manager – Retail Supervision & Risk Management
| Company | Charles Schwab |
|---|---|
| Location | Lone Tree, CO, USA, Orlando, FL, USA, Indianapolis, IN, USA, Austin, TX, USA, Westlake, TX, USA, St. Louis, MO, USA, Omaha, NE, USA, Phoenix, AZ, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Mid Level, Senior |
Requirements
- Series 7, 66 (or 63/65), 9/10 or 8 (or 24/53/4)
- Series 24
- 3 plus years of experience in supervision and regulatory matters
- Strong knowledge and understanding of compliance and regulatory requirements applicable to the brokerage/investment advisory industry
Responsibilities
- Perform critical roles designed to enhance the control functions performed by the team
- Serve as the initial point for review of multiple control functions within the scope of the Retail Supervision & Risk Management team
- Conduct reviews of communications with the public content, trades, client service gestures, enrollments, and other key controls
- Facilitate business partner meetings
- Conduct staff quality control oversight of the work product
- Lead by working effectively across business lines promoting consistency
- Use data to identify risk as well as training needs and coaching opportunities
- Manage any escalations that arise
Preferred Qualifications
- Undergraduate degree in Business, Accounting, Finance or related discipline
- Ability to define problem areas and analyze risk to effectively supervise and mitigate risk
- Adaptable under changing regulatory and internal environments
- Self-starter who thrives working in ambiguous situations while making high-quality decisions, independently
- Embodies professionalism and passion through leadership, engagement, and oral and written communication skills
- Time management, organization, and prioritization skills
- The ability to work under intensive deadlines
- Ability to strategize on approach to building or changing current processes and procedures and the utilization of resources to meet firm requirements
- Ability to identify and report gaps in policy, procedure, and controls to leadership, while offering solutions for consideration and implementation
- Must be results driven and innovative while also collaborative and authentic. Should be disciplined in approach, accountable and able to influence others in an ambiguous environment.