Supervision & Controls, Relationship Manager

Apply Now    
Job ID:
Job Category:
Relevant Work Experience:
Financial Services-6+ yrs, Regulatory, Compliance
Current Licenses / Certifications:
FINRA Series 66, FINRA Series 10, FINRA Series 7, FINRA Series 9
Position Located In:
TX - Austin, AZ - Phoenix, CO - Lone Tree, TX - Westlake, IN - Indianapolis
Job Type:
Full Time

Indianapolis - IN, INDYC, 8332 Woodfield Crossing Blvd, 46240-2482
Don Carlos Collins

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity: Supervisory Officer, Supervisory Manager, Risk Officer

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.

What you’ll do: 

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

A successful RM will be a thought 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 manage 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 complex role that requires a candidate with considerable industry and supervisory knowledge, excellent problem solving and project management skills and who can handle multiple projects simultaneously.  Requires the ability to evaluate, develop and implement policies and procedures.

What you have:  Supervisory Officer, Supervisory Manager, Risk Officer

Minimum of 8 years supervisory, control, or compliance experience a must. Candidates should have a very strong working knowledge of standard industry and regulatory policies and procedures.  In addition, Candidates must possess the ability to influence others through the development of strong working relationships and the use of effective communication skills.   The Candidate will 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 the circumstances presented and find optimal solutions in dynamic situations.  The ideal Candidate will have proven supervision and oversight skills displaying a track record of operating at both strategic and tactical levels.

  • Active and valid Series 7 license is required.
  • Active and valid Series 9/10 (8) license is required.
  • Active and valid Series 66 is required. 
  • Series 3 license preferred.

As a Relationship Manager responsible for supporting CS&S, this person would support CS&S Leaders by:

  • Performing data and risk analysis and synthesizing that information for follow up and reporting
  • Identifying, escalating and addressing issues and potential trends and outlier behaviors
  • Providing advice and guidance on relevant firm policies and procedures. 
  • Strong problem solving and critical thinking skills
  • Strong communication skills. 
  • The ability to work independently, with minimum guidance. 
  • The ability to work on multiple projects and prioritize based on regulatory risk and business needs.

What you’ll get: Supervisory Officer, Supervisory Manager, Risk Officer

  • Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
  • Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
  • Not just a job, but a career, with an opportunity to do the best work of your life

Learn more about Life@Schwab.

Charles Schwab & Co., Inc. is an equal opportunity/affirmative action employer committed to diversifying its workforce. All applications are considered without regard to race, color, religion, sex, sexual orientation, national origin, age, disability, protected veteran status (disabled veterans, recently separated veterans, active duty wartime or campaign badge veterans, Armed Forces service medal veterans), or based on any individual's status in any group or class protected by applicable federal, state or local law.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: FINRA Series 66, FINRA Series 10, FINRA Series 7, FINRA Series 9
Relevant Work Experience: Financial Services-6+ yrs, Regulatory, Compliance
Position Located In: TX - Austin, AZ - Phoenix, CO - Lone Tree, TX - Westlake, IN - Indianapolis
Education: BA/BS
Job Type: Full Time

Activation Date: Thursday, June 1, 2017
Expiration Date: Saturday, June 17, 2017
Apply Here
Apply Now    

Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.

At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab’s hiring decisions. All other submissions should be performed online.

The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC , offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products.