Centralized Supervision Manager - 360 Review Team

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Job ID:
20170606-2863
Job Category:
Compliance/Legal/Regulatory
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:
AZ - Phoenix, IN - Indianapolis, TX - Westlake
Education:
BA/BS
Job Type:
Full Time
Description:

Phoenix - AZ, PHX4750A, 4750 E Francisco, 85044-5359
Don Carlos Collins
20170606-2863

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:

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 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

The 360 Review Team is a team within the Supervisory Risk Management group of Supervision and Controls (S&C).  The team is designed to support all businesses within S&C; Branch, Customer Service & Support (CS&S), Fixed Income, Independent Branch Services (IBS) and Advised Investing.  The team partners with S&C Leaders to provide feedback and coaching opportunities on the supervisory work that is completed within S&C. The team reviews completed supervisory work to ensure quality, consistency and looks for opportunities for process improvement to gain efficiencies.

What you’ll do:

Centralized Supervision Managers (CSM) on the 360 Review Team review the supervisory work completed within S&C and provides consistent and effective analysis to leadership.  CSMs are expected to draw upon supervisory knowledge, personal experiences, professional training, and expertise to develop working relationships with the groups we are supporting. Some examples of responsibilities include: daily supervisory reviews, evaluating data and presenting trend analysis to Leadership, consistent documentation, providing feedback based on findings and communicate areas of improvement to the managers to improve the quality of the supervisory work.   CSMs are also expected to participate in monthly call review sessions within Supervisory Risk management, as well as with supported business leaders to ensure consistency in coaching and feedback. Also, evaluating data and presenting trend analysis to Leadership can also be expected.

What you have:

  • 3 or more years’ experience of Patter Based Supervision in financial services
  • Excellent knowledge of Schwab products and services
  • Self-directed and self-motivated - able to work independently on a variety of tasks
  • Must be well organized and able to effectively manage own time
  • Excellent analytical abilities as demonstrated by gathering, analyzing, and delivering information
  • Strong attention to detail and thoroughness
  • Strong understanding of supervisory processes and able to identify areas of improvement
  • Strong written and verbal communication skills, including strong presentation skills, demonstrated by comfort in communicating at all levels of management
  • Series 7, 8 (9/10), 63 and 66 licenses required 

Critical Success Factors for this role: 

Strong communication and partnership skills to work effectively with colleagues and business partners in a fast-paced, results oriented culture.   Ability to provide balanced feedback to Leadership.   Strong business discipline and focus on productivity .

What you’ll get:

  • 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: AZ - Phoenix, IN - Indianapolis, TX - Westlake
Education: BA/BS
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Friday, June 9, 2017
Expiration Date: Saturday, July 8, 2017
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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.