Charles Schwab Centralized Supervision Manager - 360 Review Team in Phoenix, Arizona


Phoenix - AZ, PHX4750A, 4750 E Francisco, 85044-5359

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 group. Supervision and Control’s 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 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: AZ - Phoenix, IN - Indianapolis, TX - Westlake

Education: BA/BS

Job Type: Full Time


Activation Date: Friday, June 9, 2017

Expiration Date: Saturday, July 8, 2017

Apply Here