Pay range: USD $74,900.00 - $153,100.00 / Year
Your opportunity
At 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.
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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 have
Required 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 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 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