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Senior Manager, Supervision & Controls, Technology & Reporting

Charles Schwab – Westlake, TX


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

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every clients 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:

***This job description has been posted for the purpose of pipelining candidates for future opportunities. ***

Supervision & Controls is an independent group responsible for providing supervisory support through direct supervision, escalation, oversight, analysis and supervisory risk assessments, to Schwabs Investor Services (retail) group. Our 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 youll do:

To be effective in this role, the Manager must be able to work with all levels within S&C and the Schwab organization to identify issues and work with our business partners to implement solutions for new or improved supervisory controls and streamline processes.

Responsibilities include:

  • Utilize modern behavioral and advanced analytics technics to help create proactive reporting and risk based outlier identification and trending
  • Scope analytics projects including determining optimal analytical approach, identifying resources and assets needed, developing execution plans, and conducting analysis
  • Develop and test automated reporting solutions using various reporting tools and database platforms
  • Collaborate with colleagues within the Business, S&C and other technical groups to design and implementation tactical and strategic solutions
  • Gather data/requirements and to create new and/or update existing processes and/or reporting.
  • Approach analytical problems with an appropriate blend of statistical/mathematical rigor with practical business intuition
  • Develop process improvements and efficiencies within Supervision and Controls

What you have:

  • B.S. degree in Statistics, Mathematics, Computer Science, Economics, Operations Research, Engineering or similar quantitative field
  • 5+ years experience in an analytical consulting role (consulting to external clients and/or internal business partners)
  • Experience in financial services and supervision environments
  • Strong understanding of how analytics supports a large organization including being able to successfully articulate the linkage between business decisions, business objectives, and analytical approaches & findings
  • Excellent analytical skills with demonstrated ability to solve problems
  • Strong SAS, R, or Python programming, SQL querying and Excel data manipulation capabilities used in context of analytic insight mining and marketing initiative performance measurement
  • Ability to leverage large transactional databases across multiple platforms
  • Outstanding oral and written communication with a proven ability to convey thoughts and findings through PowerPoint and other MS Office Suite Applications
  • Strong interpersonal skills to successfully build long-term relationships with colleagues and business partners
  • Prefer 3-5 years of compliance and/or supervision experience in industry
  • Experienced with Tableau and Alteryx preferred
  • Ability to understand business needs, effectively gather requirements and anticipate business needs
  • Series 7, 66, 9/10 or 24 is preferred

What youll 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 [email protected]
Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. (Please click here to see policy.) Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace. We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.
If you need an accommodation in the application process, please email [email protected] or call HR Direct at 800-725-3535.

Job Specifications Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Regulatory, Risk Analysis, Analyst/Strategy-2-5 yrs, Compliance, Financial Services-less than 2 yrs
Position Located In: TX - Westlake, IN - Indianapolis
Education: BA/BS
Job Type: Full Time
Activation Date: Tuesday, April 9, 2019
Expiration Date: Saturday, June 22, 2019
Apply Here

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