Charles Schwab Sr. Manager, Risk Analysis in Westlake, Texas


Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616

Larcelia Shells


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 at 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:

The Risk and Supervision Management department within Advisor Services supports risk mitigation and management, operational risk, supervision, due diligence, and project and policy execution. This is an individual contributor position.

What you’ll do:

  • Perform daily comprehensive reviews and monitoring of operational items including pricing, billing, margin, account activity, etc.

  • Participate in enhanced review and monitoring as requested

  • Conduct case investigations when warranted by researching, collecting and documenting all necessary evidence and present findings to management and peers

  • As part of the investigative process, identify risk and control gaps and propose updates to guidelines and procedures as necessary

  • Review the execution of all risk framework components from a continuous improvement standpoint

  • Manage and/or assist with special projects as needed

  • Manage the onboarding of new reviews to the team, creating training materials, procedures, etc.

  • Perform due diligence on Family Office firms when they are onboarding to Schwab or requesting enhanced authorities

  • This could include client contact, working with outside auditors, limited travel, gathering and reviewing required documentation

What you have:

Grade level 57 manager:

  • Excellent written and verbal communication skills

  • Ability to work in a fast paced environment, meet challenging deadlines and maintain high quality standards

  • Self-motivated and able to work independently leading or participating in virtual teams, drawing projects/initiatives to completion.

  • Demonstrated success in prioritizing and managing multiple competing requests

  • Bachelor’s degree

  • 3 - 5 years of financial services industry experience in the compliance, risk or supervision field (brokerage preferred)

  • Series 7, 9/10 FINRA licenses

  • Strong interpersonal skills/ability to develop relationships with peers

  • Strong organizational skills and great attention to detail in a rapidly changing environment

Grade Level 58 Senior Manager

  • 6+ years of financial services industry experience in the compliance, risk or supervision field (brokerage preferred)

  • Experience working with Registered Investment Advisors and Family Office firms

What you’ll get:

  • Comprehensive Compensation and Benefits package

  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts

  • Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program

  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions

  • 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 at" .

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.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: FINRA Series 10, FINRA Series 7, FINRA Series 9

Relevant Work Experience: Financial Services-6+ yrs, Financial Services-2-5 yrs

Position Located In: TX - Westlake

Education: BA/BS

Job Type: Full Time

Category:Risk Management

Activation Date: Friday, October 12, 2018

Expiration Date: Saturday, November 3, 2018

Apply Here