Supervision & Controls is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis and supervisory risk assessments, to Schwab’s Investor Services (retail) group. Supervision and Controls vision 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.
Workplace Flexibility Program: We're proud to support our employees in a working approach that allows you to bring your best self to work – whether that’s in the office or remote.
*Subject to change as Schwab is continually evaluating the current environment in order to best care for the safety and well-being of our employees.
We are looking for a Relationship Manager (RM) within the Supervision & Controls Department. This position will drive developments to the supervisory support we provide within CS&S of the Investor Services enterprise, and has a critical responsibility for relationship building with senior members of the CS&S Leadership Team. This is an Individual Contributor role with no Direct Reports and the role reports to the Director, Supervision & Controls.
A successful RM will be an inspiring leader in the S&C team and will require an outstanding ability to build and maintain productive working relationships with personnel across the organization, including colleagues within S&C up to and including senior leadership. The RM is also responsible for building the supervisory processes and tools required to identify, mitigate and handle supervisory issues in the Teams for which they have responsibility; therefore the candidate will require equally impressive technical supervisory knowledge, analysis and reporting skills to be successful in the role. This is a sophisticated role that requires a candidate with considerable industry and supervisory knowledge, excellent problem solving and project management skills and who can handle several projects simultaneously. Requires the ability to evaluate, develop and implement policies and procedures.
Minimum of 5 years supervisory, control, risk management or compliance a must
Solid understanding of industry standards and regulatory policies and procedures
Ability to influence others through the development of strong working relationships and the use of effective communication
Outstanding time management and organizational skills
Ability to operate in a fast paced environment and must have the ability to both make decisions based on sound business judgment with information at hand and also to be able to quickly adapt to new circumstances presented
Proven supervision and oversight skills displaying a track record of operating at both strategic and tactical levels
Interest in creating change through operational improvements, training and streamlining functions
Ability to be a self-starter and work independently
Ability to adapt to changing business conditions
Ability to handle multiple projects in a fast paced, team environment
Proven ability to prioritize business needs
Active and valid Series 7 is required
Active and valid Series 9/10 (8) or 24/4/53 is required
Active and valid Series 4 preferred
Active and valid Series 3 preferred
Active and valid Series 34 preferred
Active and valid Series 66 preferred
*In addition to the salary range, this role is also eligible for bonus or incentive opportunities.
At Schwab, we’re committed to empowering our employees’ personal and professional success. Our flexible work options, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
Maternity leave coaching
Backup child care
Remote work policy
Short term disability
Charles Schwab was founded on the idea that everyone should have the opportunity to own their future – and that principle still guides our firm today. As an industry innovator recognized for excellence in service, our clients trust us to provide the guidance needed to help them reach their unique financial goals. Working at Schwab means joining a team where everyone is empowered to build a diverse, rewarding career. We succeed together through our inclusive, collaborative culture that’s focused on one common goal: to make a difference in the lives of the people we serve.