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Specialist, Supervision & Controls

Location Indianapolis, Indiana, United States; Westlake,Texas,United States; Requisition ID 2021-74067 Category Risk Position Type Regular
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Your Opportunity

The Control group within Supervision & Controls is an independent group responsible for providing delegated review of control and risk mitigation functions to Schwab’s Investor Services (retail) group. The vision of Supervision & Controls 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 you are good at

What you’ll do:

The S&C Specialist is responsible for performing critical roles designed to enhance the control functions performed by our team. The Specialist will serve as the initial point for review of multiple control functions within the scope of the Supervision & Controls team. This includes review of electronic communication, social media, trades, client service gestures, enrollments, and other key controls. These reviews will be conducted in close partnership with other members of our Supervision team.

The successful candidate will need to be a self-starter, be able to work independently and possess a strong desire to learn and grow. Additionally, the candidate will need the ability to identify emerging trends, and conduct data and trending analysis. This person should have strong analytical skills and possess the aptitude to learn quickly and a desire to seize opportunities to increase their overall business and financial services knowledge. The candidate must possess the ability to develop strong working relationships with peers and internal business partners. The candidate will operate in a fast paced environment with the ability to make decisions based on sound judgment with information at hand.

What you have

Technical/Functional Required:

  • Active and valid Series 7
  • Strong written and verbal communication skills, including the ability to escalate effectively
  • 1-2 years’ experience in financial services

Preferred skills:

  • Bachelor's degree preferred
  • Strong Microsoft Office product skills

Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.

Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further.

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal 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 the policy.

Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at or call 800-275-1281.

TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.

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