Senior Manager, Retail Supervision

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.

We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location.

Please note:

This position is Monday-Friday during standard business hours with a hybrid work model (4 days in-office, 1 day working from home). It is only available in the areas listed. Candidate must reside or be willing to relocate on their own to one of the listed areas. Applicants must be currently authorized to work in the United States on a full-time basis without employer sponsorship.

Retail Supervision and Risk Management (RSRM) is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis, and supervisory risk assessments, to Schwab’s Investor Services. RSRM’s 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.

As part of the Retail Supervision & Risk Management (RSRM) Quality Assurance & Learning & Development team, you will help elevate the quality and effectiveness of Retail risk and supervisory programs while fostering a culture of continuous learning, professional growth, and supervisory excellence. We are seeking an experienced, FINRA-licensed supervisor, auditor, or examiner who can independently assess supervisory activities and risk management programs against Written Supervisory Procedures (WSPs), regulatory requirements, supervisory standards, and industry best practices.

As Schwab expands AI-enabled capabilities, complex product offerings, and new business services, you will help evolve Retail Supervision & Risk Management's training and quality assurance programs to scale with the business, expand coverage, and maintain focus on the highest-risk activities and supervisory priorities, leveraging AI and technology to enhance efficiency, effectiveness, and program scalability.

This is an ideal opportunity for an experienced supervisor who is passionate about developing others, embraces innovation, and thrives in a fast-paced, evolving environment. Success in this role requires a forward-looking mindset and the ability to leverage emerging technologies, including AI, to enhance supervisory effectiveness and scale impact.

• Conduct risk-based quality assurance reviews of supervisory and risk management programs and activities.
• Evaluate adherence to applicable WSPs, regulatory requirements, policies and procedures, and established standards.
• Assess the quality of supervisory documentation, risk identification, supervisory judgment, and escalation appropriateness—not simply whether an activity was completed.
• Translate observations into targeted coaching, training, and program enhancements.
• Support new hire onboarding and professional development through the design, delivery, and enhancement of training programs that build risk and supervisory expertise.
• Build supervisor readiness for complex products by developing learning content, QA focus areas, and practical guidance that support effective oversight as Schwab continues to expand its product offerings.
• Evolve quality assurance and learning & development programs in response to evolving business and regulatory needs.
• Support program evolution and scalability…