Risk Supervision Officer

About the role

As a Risk & Supervision Officer within Retail Supervision & Risk Management, you will support the Branch Network by guiding supervisory practices that protect clients, strengthen field execution, and uphold Schwab's regulatory and compliance obligations. This role functions as an extension of business leadership, while operating independently or with minimal guidance.

Responsibilities

• Work with the business and RSRM leadership on the communication, integration, and implementation of supervisory initiatives.
• Ensure business leadership is aware and involved in managing supervisory and risk management issues through regular meetings, reporting/metrics, and escalations.
• Serve as a point of escalation for employee conduct issues, policy violations, and disciplinary considerations.
• Communicate with Branch Managers, Team Managers, licensed reps, and/or central delegate teams to resolve supervisory inquiries.
• Able to measure risk and make independent decisions in an ambiguous environment.
• Coordinate with peers, field leaders, supervisors, and analyst teams to identify trends and patterns across branches, regions, and/or the business line.
• Represent RSRM and demonstrate leadership through active participation on firm projects and working groups as assigned. Think strategically, independently define next steps, and drive/execute with limited guidance.
• Effectively influence and gain support of other areas of the firm in delivering solutions.
• Initiate amendments to current policies and procedures as appropriate, has a strong understanding of the firm's Risk Management infrastructure, and escalates risk accordingly.
• Build a high performance/high productivity work environment, prioritize tasks, and produce a strong work product.
• Absorb a strong professional presence, is self-aware, and highly engaged.
• Able to maintain an overall vision of assigned projects and communicate the status to all levels of senior leadership.
• Provide coaching and guidance to the field and business partners on policies and procedures in a way that promotes risk awareness and a strong culture of compliance.
• Works under pressure on multiple tasks concurrently and meets deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

Requirements

• Active Series 7 license
• Active Series 66 license, or active Series 63 and Series 65 licenses
• Active Series 9/10 or Series 8 license; Series 24/53/4 may also be considered based on role alignment
• 5+ years of experience in supervision, risk, regulatory matters, compliance, or a closely related financial services function
• Demonstrated ability to assess risk, apply sound judgment, and make independent decisions in ambiguous or time-sensitive situations
• Strong understanding of supervisory practices, risk management concepts, regulatory expectations, and compliance-related controls
• Ability to define problem areas, analyze risk, recommend policy or procedure improvements, and support controls that mitigate supervisory exposure
• Strong communication skills with the ability to engage Branch Managers, Team Managers, licensed representatives, central delegate teams, business leaders, Compliance, and Legal partners
• Ability to influence stakeholders, gain alignment, and support solutions across teams and levels of leadership
• Strong organization, prioritization, follow-through, and deadline management skills in a fast-paced environment with changing priorities
• Ability to manage multiple tasks concurrently while maintaining quality, accuracy, and professional presence
• Proficiency with Microsoft Office applications, including Excel, Word, and PowerPoint

Qualifications

• Undergraduate degree in Business, Accounting, Finance, or a related discipline
• Prior leadership, team management, pod leadership, coaching, or mentoring experience
• Experience supporting branch, field, retail supervision, or registered representative oversight functions
• Demonstrated ability to identify trends, patterns, and emerging risks across branches, regions, teams, or business lines
• Experience participating in cross-functional business projects, working groups, policy updates, or process improvement initiatives
• Strong industry acumen and ability to operate as a self-starter with limited guidance
• Demonstrated ability to build effective relationships across a broad firm network and communicate status, risks, and recommendations to all levels of leadership
• Results-oriented mindset with a collaborative, accountable, and adaptable approach to solving complex problems