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Director Legal Services

Posted on: 24 Sep 2019 649 views
: Director Legal Services
: Charles Schwab
: Austin, Texas, United States
: JD
: 7
: 10

Requisition ID: 2019-45700

Category: Legal & Compliance

Position Type: Full time

Your Opportunity

Corporate Legal Services provides legal advice to all aspects of Schwab's business. This in-house counsel position will be in our Institutional & Retail Legal Team within Corporate Legal Services. This team serves as enterprise counsel for the client-facing businesses of Schwab, including Advisor Services, Investor Services, and Corporate and Retirement Services, and serves as counsel for Schwab’s Operational Services business which supports all of the client-facing business units. This Legal Counsel Director position is within the Advisor Services legal team.


What you’re good at

This experienced attorney will serve as day-to-day counselor for the Advisor Services business, which provides custody and related services for independent investment advisors.

The primary responsibilities of the Legal Counsel Director will include but not be limited to providing legal advice in connection with:

Service and sales related legal matters arising out of Schwab’s Advisor Services business.
Projects and initiative designed to build new offers, programs, and technology solutions.
Projects designed to drive new business to Schwab’s Advisor Services businesses.
This dynamic growth orientated business continues to innovate and expend into new offers, programs, and markets requiring hands-on legal counsel. This Legal Counsel Director will also be encouraged to assume other assigned tasks and projects in addition to his or her regular work schedule and to assist other attorneys on the team as circumstances may decide.

What you have

Technical/ Functional Qualifications:

  • The ideal candidate must have a J.D. degree, bar admission and at least seven to ten years of law firm, in-house counsel experience with a financial services company that includes broker-dealer and investment adviser matters, or experience with an industry regulator.
  • The ideal candidate will have an understanding of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934.
  • Seeking background and experience with fiduciary activities, FINRA rules, and trading issues.
  • Excellent verbal and written briefing skills and the ability to advise the business on day-to-day issues in a fast-paced environment, with an eye on regulatory changes and risk management, are important skills for this position.


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Why Schwab?

At Schwab, “Own Your Tomorrow” embodies everything we do! We are committed to helping our employees unleash their potential and achieve their dreams. Our employees get to play a central role in disrupting a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. We’re a modern financial services firm that stands apart from the industry, where you can go as far as your ambition takes you.

Hear from employees: What’s it like to work at Schwab!

The benefits of working at Schwab: a package designed to empower your health, wealth, career and life.
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. 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.

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