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.
What You’ll Do
Lead Strategy and Execution
Lead the design, implementation, and ongoing enhancement of supervisory programs aligned to regulatory expectations and business needsAssess changes in products, services, business practices, and the regulatory environment to inform supervisory standards and controlsIdentify connections across business lines to support consistent, effective supervisionApply judgment and risk-based thinking to guide supervisory decisions and prioritiesLead and Develop People
Build, develop, and retain a high-performing team by fostering inclusion, psychological safety, and shared accountabilityCoach and mentor leaders and team members through regular feedback, development conversations, and career planningSet clear expectations and measurable goals aligned to both individual growth and organizational outcomesEncourage continuous learning and development of subject-matter expertise related to regulatory and supervisory riskCollaborate and Influence
Establish and sustain strong partnerships with business leaders and cross-functional stakeholdersConsult with Compliance, Legal, and business partners on supervisory obligations, workflows, and risk considerationsCommunicate insights and recommendations clearly to diverse audiences, balancing risk awareness with business enablement What you haveRequired Qualifications
10 or more years of experience in supervision, compliance, or regulatory roles within financial services5 or more years of people leadership experience, supporting teams with varying levels of seniorityActive FINRA Series 7 and Series 66 licensesActive FINRA Series 9 and 10 licenses, or equivalentDemonstrated knowledge of Broker-Dealer and Investment Advisor business models, risks, and regulatory requirementsBachelor’s degree or equivalent practical experiencePreferred Qualifications
Demonstrated ability to influence outcomes, manage ambiguity, and navigate complex stakeholder environmentsStrong analytical and critical-thinking skills, with the ability to balance strategy and executionEffective written and verbal communication skills, including the ability to translate complex topics into clear insightsExperience managing multiple priorities in a fast-paced, evolving environmentA people-first leadership approach that values collaboration, inclusion, and continuous improvementExperience modernizing or improving processes through creative, thoughtful problem-solving Options Apply for this jobApplyShareRefer a friendRefer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeedWhat’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. 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 Application FAQsSoftware Powered by iCIMS
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