Charles Schwab Centralized Supervision Manager - Schwab Private Client in Lone Tree, Colorado


Lone Tree - CO, DENR1, 9800 Schwab Way, 80124

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:

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. S&C team members are evaluated on the following attributes: technical supervisory excellence, continuous improvement, leadership, risk identification and resolution, positive contribution to projects, relationship building, effective communication, business understanding, and professional courage/empowerment.

What you’ll do:

The Centralized Supervision Manager in Supervision & Controls Department will support the Schwab Private Client Investment Advisory Organization. Responsibilities include:

  • Daily supervision of Portfolio Consultant activities, inclusive of trading, advised offer enrollment approvals/reviews, communications with the public, 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 department employees from Portfolio Consultants to senior leadership.

  • Candidate should possess extensive knowledge of Schwab Retail business models, Schwab Investment Advisory products to include Fixed Income and Options.

  • Candidate should have a working knowledge of standard industry and regulatory rules and regulations.

  • 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 business 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; ability to work under intensive deadlines

  • Bachelor’s degree

  • Active and valid Series 7 required

  • Active and valid Series 9/10 required

  • Series 66 required

  • Series 24 preferred

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: Financial Services-6+ yrs, Regulatory, Compliance

Position Located In: CO - Lone Tree, IN - Indianapolis, TX - Westlake

Education: BA/BS

Job Type: Full Time


Activation Date: Wednesday, June 14, 2017

Expiration Date: Saturday, July 15, 2017

Apply Here