Supervision and 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.
The Sr. Risk and Control Analyst for the Branch Network will review reporting outputs to identify trends, patterns and/or issues to support the supervisory oversight of a branch location or a registered representative. The Sr. Risk and Control Analyst will be responsible for completing portions of PBS for their assigned branches regarding sales practices, operational analysis and registered representative reviews. They will work in close partnership with the Risk and Supervision Officer and strive to improve supervisory outcomes by providing practical, consistent, effective and unbiased risk guidance that is grounded in a deep understanding of business goals and the regulatory environment. Work includes monthly and quarterly reviews of branch activities. Secondary responsibilities will be to perform investigative reviews across the business, provide supervisory perspective on emerging trends and lead project work streams to evolve the RCA team.
*** In addition to the salary range, this role is also eligible for bonus or incentive opportunities.**
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.