Lead the design, implementation, and ongoing enhancement of supervisory programs aligned to regulatory expectations and business needs
Assess changes in products, services, business practices, and the regulatory environment to inform supervisory standards and controls
Identify connections across business lines to support consistent, effective supervision
Apply judgment and risk-based thinking to guide supervisory decisions and priorities
Lead and Develop People
Build, develop, and retain a high-performing team by fostering inclusion, psychological safety, and shared accountability
Coach and mentor leaders and team members through regular feedback, development conversations, and career planning
Set clear expectations and measurable goals aligned to both individual growth and organizational outcomes
Encourage continuous learning and development of subject-matter expertise related to regulatory and supervisory risk
Collaborate and Influence
Establish and sustain strong partnerships with business leaders and cross-functional stakeholders
Consult with Compliance, Legal, and business partners on supervisory obligations, workflows, and risk considerations
Communicate insights and recommendations clearly to diverse audiences, balancing risk awareness with business enablement
What you have
Required Qualifications
10 or more years of experience in supervision, compliance, or regulatory roles within financial services
5 or more years of people leadership experience, supporting teams with varying levels of seniority
Active FINRA Series 7 and Series 66 licenses
Active FINRA Series 9 and 10 licenses, or equivalent
Demonstrated knowledge of Broker-Dealer and Investment Advisor business models, risks, and regulatory requirements
Bachelor's degree or equivalent practical experience
Requirements
Demonstrated ability to influence outcomes, manage ambiguity, and navigate complex stakeholder environments
Strong analytical and critical-thinking skills, with the ability to balance strategy and execution
Effective written and verbal communication skills, including the ability to translate complex topics into clear insights
Experience managing multiple priorities in a fast-paced, evolving environment
A people-first leadership approach that values collaboration, inclusion, and continuous improvement
Experience modernizing or improving processes through creative, thoughtful problem-solving
Benefits
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 planPaid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positionsPaid parental leave and family building benefitsTuition reimbursementHealth, dental, and vision insurance
Additional Information
Pay range: USD $190,000.00 - $240,000.00 / Year
Your opportunity
At Schwab, you're empowered to make an impact-on clients, colleagues, and your career. Here, innovative thinking meets purposeful action as we work together to challenge the status quo and shape the future of financial services. You'll be supported to grow, lead authentically, and contribute to a culture that values inclusion, collaboration, and continuous improvement.
The Sales Supervision team plays a vital role in supporting the Branch Network by helping ensure supervisory programs align with regulatory obligations and risk management standards. Within Retail Supervision & Risk Management, this role helps protect our clients and the firm while enabling business growth through thoughtful, effective supervision.
Reporting to the Retail Supervision & Risk Management Managing Director, the Director, Sales Supervision leads the evolution and execution of supervisory programs related to the activities of sales professionals across the Branch Network, Franchise Branch Network, and Specialty Teams. This leader partners closely with business leadership, Compliance, and Legal to support initiatives tied to products, services, and supervisory risk mitigation.
Charles Schwab · Austin, TX