Your opportunityAt 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.The Control Team within Retail Supervision & Risk Management is an independent group responsible for providing delegated review of control and risk mitigation functions to Schwab’s Investor Services (retail) group. 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.As an Individual Contributor, you will serve as the initial point of review for multiple control functions within the scope of the Retail Supervision & Risk Management team including, but not limited to, the review of electronic communications, social media, trades, client service gestures, enrollments, and other key controls. These reviews will be conducted in close partnership with other members of the Supervision team. Individual Contributors at the Manager level may also facilitate team or business partner meetings, identify coaching opportunities, and facilitate training. They will work in close partnership with the Team Manager(s) to provide additional support with reporting, quality assurance, or additional responsibilities as needed.What you haveRequired Qualifications
Series 7, 66 (or 63/65), 9/10 or 8 (or 24/53/4)
3 plus years of experience in supervision and regulatory matters
Preferred Qualifications
Undergraduate degree in Business, Accounting, Finance or related discipline
Strong industry acumen, self-starter and ability to work with minimal supervision
Ability to define problem areas and analyze risk to effectively supervise and mitigate risk
Must work well under competing deadlines and possess strong organizational skills
Excellent oral and written communication skills
Strong knowledge in all Microsoft applications; Excel, Word and PowerPoint
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
Ability to act independently and make decisions in an ambiguous environment
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.
What’s in it for youAt Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.We offer a competitive benefits package that takes care of the whole you – both today and in the future:
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
What’s in it for you:At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.We offer a competitive benefits package that takes care of the whole you – both today and in the future:401(k) with company match and Employee stock purchase planPaid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positionsPaid parental leave and family building benefitsTuition reimbursementHealth, dental, and vision insuranceSchwab is an affirmative action employer, focused on employing and advancing in employment, qualified women, racial and ethnic minorities, protected veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at [email protected] or call 800-275-1281.