Welcome page Returning Candidate? Log in Senior Manager, Supervisory Risk Management Job Locations US-TX-Westlake | US-TX-Austin | US-IN-Indianapolis | US-NE-Omaha | US-AZ-Phoenix Requisition ID 2025-109753 Posted Date 15 hours ago(4/8/2025 3:10 PM) Category Risk & Regulatory Salary Range USD $90,000.00 - $200,100.00 / Year Application deadline 4/18/2025 Position Type Full time Your Opportunity

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.

 

Retail Supervision and Risk Management is an independent group responsible for providing delegated review of control and risk mitigation functions to Schwab’s Investor Services. The vision of Retail Supervision & Risk Management 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.

 

The Senior Manager, Supervisory Risk Management will focus on regulatory risk management and control issues for the Investor Services/ Retail group. This role will involve risk identification, control testing support, and issue management across multiple governance groups (1st Line of Defense Testing, Operational, Third Party, Audit, Compliance). Additionally, the Senior Manager will oversee the creation, review, and management of disclosure content to ensure accuracy, compliance, and clarity. They will be responsible for understanding and implementing disclosure management change processes, ensuring effective communication with the public processes and approvals, and maintaining a comprehensive disclosure inventory. The role will also involve utilizing tools that support version control, content management, and deployment.

This is a complex role that requires a candidate with considerable industry, supervisory, and risk/control knowledge.

What you have

Required Qualifications:

6-10 years relevant financial services experience, including broker-dealer and retail experience.5+ years supervisory, risk, audit, control, or compliance experience in a similar financial service industry.

Preferred Qualifications:

Series 7 and other licenses (willingness to obtain).Strong communication, influencing, and presentation skills.Highly effective organizational and time management skills.The ability to work on multiple projects and prioritize based on regulatory risk and business needs.Experienced in risk identification, control testing support and issue management across multiple governance groups (Ex: 1st Line of Defense, Operational Risk, Third Party, Audit and Compliance).Ability to collaborate with all levels within the Schwab organization to analyze risk, control and related issuesTrack record of providing sound guidance to business partners and peers.Ability to respond to changes in the business and/or regulatory environment by actively recommending changes to existing policies and procedures.Ability to respond to findings and remediation plans as appropriate and track through to completion. This includes experience in risk and control type tools (GRC tools).Strong attention to detail and the ability to identify core and root cause of gaps and weaknesses.Experience in managing and implementing disclosure content, ensuring compliance with regulatory requirements and maintaining high standards of accuracy and clarity.Understanding of disclosure management change processes and communication with the public processes and approvals.Experience with or understand of concepts related to disclosure risk management.Proficiency with tools that support disclosure version control, content management, and deployment. Options Apply for this jobApplyShareRefer a friendRefer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.

 

Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future.   Application FAQs

Software Powered by iCIMS
www.icims.com