**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 is to be a trusted independent partner of all Schwab stakeholders, promoting business growth through effective risk management.
This role combines deep understanding of the Control Team's scope of work with direct support for the team manager as an Individual Contributor. It is designed for individuals who want to strengthen technical supervisory expertise while gaining exposure to leadership responsibilities. The position offers opportunities for potential growth into future leadership roles through project ownership, mentoring, and strategic initiatives.
Key Responsibilities
Operational Excellence
+ Execute, monitor, and develop reporting of core supervisory and control functions (e.g., communications supervision, trades, account changes) to ensure adherence to policy & procedure and provide support for audits, risk assessments, and management reviews.
+ Identify and resolve gaps across various mediums (e.g., policies, procedures, training, alert logic) while providing recommendations for improvements to enhance efficiency and effectiveness, specifically including the usage of artificial intelligence (e.g., Microsoft Copilot).
+ Analyze risk trends and develop supervisory tools, collaborating across business lines for consistency and adherence to evolving requirements.
Managerial Support & Leadership Development
+ Support the team manager with oversight activities, including quality assurance, program metrics tracking, and workflow prioritization.
+ Function as an escalation point, while assisting with coaching and timely issue resolution.
+ Partner with leadership in strategic discussions (e.g., program readiness) and drive cross-enterprise initiatives, collaborating effectively with stakeholders at all levels.
+ Facilitate team, partner, and one-on-one meetings, driving engagement, development, and readiness
**What you have**
Required Qualifications
+ Series 7
+ Series 9/10 or 8 (or 24/53/4)
+ 3+ years of experience in supervision and regulatory compliance
Preferred Qualifications
+ Series 66 (or 63/65) preferred, or desire to obtain
+ Strong industry acumen, self-driven, and able to work independently in an ambiguous environment
+ Skilled in multitasking, prioritization, problem-solving, and follow-up
+ Ability to analyze risk, develop policies, and implement effective controls
+ Excellent organizational, oral, and written communication skills
+ Demonstrates accountability, influence in ambiguity, and collaborative approach
+ Results-driven, innovative, and authentic
+ Strong proficiency with Microsoft Copilot or other artificial intelligence programs
+ Prior leadership/team management experience
+ Undergraduate degree in Business, Accounting, Finance, or related discipline
**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
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
Schwab is an affirmative action employer, focused on employing and advancing in employment, qualified women, racial and ethnic minorities, protected veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at
[email protected] or call 800-275-1281.