Centralized Risk Supervisor - Alternative Investments

Orlando, Florida
Feb 02, 2024
Apr 02, 2024

Your Opportunity

At Schwab, you're 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.

Schwab's Wealth and Advice Solutions (WAS) organization is building and delivering an industry-leading wealth management experience. WAS' vision and mission is to make wealth management more accessible, delivering for clients today while innovating for tomorrow.

What you'll do: Co

ntrol Officer, Supervisory Officer

We are looking for a Centralized Risk Supervisor within our Wealth Advice Solutions Risk & Governance (WAS R&G) organization to perform supervisory functions aligned to alternative assets offered by registered representative at Schwab. Role responsibilities may include daily supervision of Alternative Investment Consultant asset recommendations, communications, post placement reporting, operational and other approvals/reviews as needed.

The Centralized Risk Supervisor must possess the skills necessary to work with business partners across the firm; build effective working relationships with various levels of WAS and Retail employees from client-facing representatives to Senior Leadership. The ideal candidate will have proven oversight skills and industry knowledge of alternative investment assets such as private equity, private credit, hedge funds, and private real estate. Candidate must possess strong relationship management skills, including ability to develop collaborative working relationships and promote a risk-focused culture. Candidate will operate in a fast-paced environment and must exhibit confidence when making risk-based decisions with information at hand.

Control Officer, Supervisory Officer

What you have
  • 5+ years' supervision/compliance/regulatory experience
  • Strong investment industry knowledge and understanding of compliance and regulatory requirements applicable to alternative investment assets
  • Strong communication, influencing, and relationship skills, including experience working with all levels of management
  • Time management, analytical, organization, and prioritization skills with high attention to detail
  • The ability to work under intensive deadlines
  • Bachelor's degree or equivalent work experience
  • Active and valid Series 7, 9/10, 66 required, or applicable equivalents
  • CAIA or CFA, or progress towards, highly desirable

What's in it for you

At Schwab, we're committed to empowering our employees' personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you'll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

  • 401(k) with company match and Employee stock purchase plan
  • Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
  • Paid parental leave and family building benefits
  • Tuition reimbursement
  • Health, dental, and vision insurance

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