Charles Schwab
Director, Legal Counsel- Alternative Investment Platforms
Charles Schwab, Washington, District of Columbia, us, 20022
Overview Director, Legal Counsel- Alternative Investment Platforms
If you would like to know a bit more about this opportunity, or are considering applying, then please read the following job information. Join to apply for the Director, Legal Counsel- Alternative Investment Platforms role at Charles Schwab. The Third-Party Product Platforms (TPP) legal team provides legal support to product platforms through which products are available for client purchase, including mutual funds, ETFs, insurance and annuities, 529 Education Savings Plans, and alternative investments. This role primarily supports the platforms that make alternative investment products available to Schwab clients, with additional responsibilities for other product platforms as needed. Support will include strategic initiatives, regulatory compliance, and negotiating agreements with product issuers or advisers. The ideal candidate will have experience supporting broker-dealer product platforms and the organization and distribution of registered funds (liquid alternatives) and private funds. Familiarity with the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and relevant FINRA rules is expected. In-office collaboration is emphasized; this role is expected to work on site in the specified location(s) four days a week. What You Will Do
Provide legal advice related to strategic and growth initiatives for the alternative investment platforms. Draft and negotiate intermediary agreements with third-party alternative investment providers and issuers. Provide legal guidance on related marketing, disclosures, policies, and procedures. Monitor regulatory developments applicable to alternative investments and advise senior leadership and the business on impact. Build and maintain strong partnerships with the relevant Platform/Offer teams and compliance and legal colleagues to ensure alignment within the legal and regulatory framework. Required Qualifications
Juris Doctor (JD) from an accredited law school and active membership in a state bar. 7-10 years legal experience in a large broker-dealer or asset management firm. Law firm experience in a financial services-related practice or practical business experience may substitute for in-house experience. Strong drafting skills and keen attention to detail. Ability to identify and analyze contractual issues and provide solutions. Developed negotiation skills and willingness to engage with counterparties. Excellent oral and written communication skills; ability to present to senior leaders in Legal and key partners. Ability to work on multiple projects, prioritize activities, and meet deadlines with strong organizational skills. Self-motivated with excellent people skills and ability to work independently. Applicants must be currently authorized to work in the United States on a full-time basis without employer sponsorship. What’s in it for you At Schwab, you’re empowered to shape your future. We champion growth through meaningful work, continuous learning, and a culture of trust and collaboration. Our Hybrid Work and Flexibility approach balances workplace flexibility with in-person collaboration for clients and colleagues. 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 Tution reimbursement Health, dental, and vision insurance Seniority level
Director Employment type
Full-time Job function
Legal Referrals increase your chances of interviewing at Charles Schwab by 2x Get notified about new Legal Director jobs in Washington, DC.
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If you would like to know a bit more about this opportunity, or are considering applying, then please read the following job information. Join to apply for the Director, Legal Counsel- Alternative Investment Platforms role at Charles Schwab. The Third-Party Product Platforms (TPP) legal team provides legal support to product platforms through which products are available for client purchase, including mutual funds, ETFs, insurance and annuities, 529 Education Savings Plans, and alternative investments. This role primarily supports the platforms that make alternative investment products available to Schwab clients, with additional responsibilities for other product platforms as needed. Support will include strategic initiatives, regulatory compliance, and negotiating agreements with product issuers or advisers. The ideal candidate will have experience supporting broker-dealer product platforms and the organization and distribution of registered funds (liquid alternatives) and private funds. Familiarity with the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and relevant FINRA rules is expected. In-office collaboration is emphasized; this role is expected to work on site in the specified location(s) four days a week. What You Will Do
Provide legal advice related to strategic and growth initiatives for the alternative investment platforms. Draft and negotiate intermediary agreements with third-party alternative investment providers and issuers. Provide legal guidance on related marketing, disclosures, policies, and procedures. Monitor regulatory developments applicable to alternative investments and advise senior leadership and the business on impact. Build and maintain strong partnerships with the relevant Platform/Offer teams and compliance and legal colleagues to ensure alignment within the legal and regulatory framework. Required Qualifications
Juris Doctor (JD) from an accredited law school and active membership in a state bar. 7-10 years legal experience in a large broker-dealer or asset management firm. Law firm experience in a financial services-related practice or practical business experience may substitute for in-house experience. Strong drafting skills and keen attention to detail. Ability to identify and analyze contractual issues and provide solutions. Developed negotiation skills and willingness to engage with counterparties. Excellent oral and written communication skills; ability to present to senior leaders in Legal and key partners. Ability to work on multiple projects, prioritize activities, and meet deadlines with strong organizational skills. Self-motivated with excellent people skills and ability to work independently. Applicants must be currently authorized to work in the United States on a full-time basis without employer sponsorship. What’s in it for you At Schwab, you’re empowered to shape your future. We champion growth through meaningful work, continuous learning, and a culture of trust and collaboration. Our Hybrid Work and Flexibility approach balances workplace flexibility with in-person collaboration for clients and colleagues. 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 Tution reimbursement Health, dental, and vision insurance Seniority level
Director Employment type
Full-time Job function
Legal Referrals increase your chances of interviewing at Charles Schwab by 2x Get notified about new Legal Director jobs in Washington, DC.
#J-18808-Ljbffr