Sr. Manager - Supervision and Controls
Pay range
Required qualifications
- 5+ years of supervision experience, including annuity and product supervision
- Extensive knowledge of annuities, fixed income, and financial products
- Strong knowledge of compliance and regulatory requirements applicable to the brokerage and investment advisory industry
- Demonstrated Risk Assessment, Risk Monitoring, and Decision Making skills when reviewing registered representative activity
- Strong Communication, Influencing Others, and Building Collaborative Relationships skills across all levels of an organization
- Ability to manage competing priorities and make sound decisions under intensive deadlines
- Bachelor's degree or equivalent work experience
- Active and valid Series 7, Series 63, and Series 8 or Series 9/10 licenses
- Active and valid Series 66 or Series 63/65 licenses
- State Life and Health Insurance License or ability to obtain the license as a condition of employment
Preferred qualifications
- Experience conducting reviews of electronic communications, product or service recommendations, trading activity, or supervisory trends
- Extensive Fixed Income expertise
- Demonstrated ability to operate effectively at both strategic and tactical levels
- Strong Problem Solving, Analytical Thinking, and Adaptability skills in a fast-paced supervisory environment
- Experience using reporting and trend information to identify risk and strengthen supervisory controls
In addition to the salary range, this role is eligible for bonus or incentive opportunities.
What's in it for you
At Schwab, you're empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration-so you can build the skills to make a lasting impact. 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
Not included in the source posting: about the role, what you'll do, benefits.
Who can apply
The employer didn't state any visa, work authorization, citizenship or clearance requirements in this posting. Confirm with the employer before applying.
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