Charles Schwab Supervision & Controls, Centralized Supervision Manager in Westlake, Texas


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

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 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:

Please note: 2017 and 2018 growth for Supervision & Controls is being targeted in Westlake, TX. This job description has been posted to idenitfy talent specifically for the Westlake market.

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 Centralized Supervision Managers within Supervision & Controls to support business units across Schwab's Investor Servcies enterprise. Work includes daily supervision of activities, inclusive of trading, advised offer enrollment review, communications, operational and other approvals/reviews as needed.

The Centralized Supervisor must possess the skills necessary to work with business partners across the firm; build effective working relationships with various levels of Investor Servcies employees from customer service to Managing Director and Vice President levels. Candidates should possess extensive knowledge of Schwab branch business model, Schwab products and general understanding of branch compensation plan. The ideal Candidate will have proven supervision and oversight skills displaying a track record of operating at both strategic and tactical levels.

Candidate must possess the ability to influence others through the development of strong working relationships. The candidate will operate in a fast paced environment and have the ability to make decisions based on sound judgment, with information at hand.

What you have:

  • 5+ years’ supervision experience

  • Strong communication, influencing, and relationship skills, including experience working with all levels of management

  • Strong knowledge and understanding of compliance and regulatory requirements applicable to the brokerage/investment advisory industry

  • Time management, organization, and prioritization skills

  • The ability to work under intensive deadlines

  • Bachelor’s degree or equivalent work experience

  • Active and valid Series 7, 63, 8 (9/10) required

  • Series 66 (63/65) required

  • Series 24 a plus

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 at .

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: Brokerage Operations-2-5 yrs, Regulatory, Compliance

Position Located In: TX - Westlake

Education: BA/BS

Job Type: Full Time


Activation Date: Tuesday, October 3, 2017

Expiration Date: Monday, January 1, 2018

Apply Here