Charles Schwab
Overview
Director, Legal Counsel
at
Charles Schwab
is a role that supports multiple retail-focused broker-dealer and investment adviser business units and provides legal guidance to Schwab’s Investor Services and Wealth and Advice Services businesses. Responsibilities
Provide day-to-day legal counsel for working groups on multiple projects and initiatives; identify, analyze, document, and advise on legal issues and regulatory risks. Serve as a primary day-to-day legal advisor for clients and second-line risk partners in Compliance, and engage outside counsel as needed. Deliver practical, plain-English business counsel that aligns with business goals and regulatory requirements. What you have (Qualifications)
At least 5 years’ experience practicing law at a major law firm representing financial services companies, in-house with a large broker-dealer and/or investment adviser, or as a staff attorney with the Securities and Exchange Commission, FINRA, or a state securities regulator. Deep understanding of the Investment Advisers Act, the Securities Exchange Act and FINRA Rules and state laws and regulations relevant to broker-dealers and investment advisers. Working knowledge of ERISA impact on the provision of investment advice in brokerage and retirement accounts. Excellent communication skills and ability to brief senior business executives; ability to communicate effectively with non-lawyer partners. Ability to build trust and rapport with business clients and function as a highly engaged and responsive partner. What’s in it for you
Hybrid work and flexibility approach balancing ongoing commitment to workplace flexibility with in-person collaboration. Competitive benefits package including: 401(k) with company match and Employee Stock Purchase Plan; paid time off for vacation and volunteering; sabbatical after eligibility; paid parental leave and family building benefits; tuition reimbursement; health, dental, and vision insurance. Job details
Seniority level: Director Employment type: Full-time Job function: Legal
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Director, Legal Counsel
at
Charles Schwab
is a role that supports multiple retail-focused broker-dealer and investment adviser business units and provides legal guidance to Schwab’s Investor Services and Wealth and Advice Services businesses. Responsibilities
Provide day-to-day legal counsel for working groups on multiple projects and initiatives; identify, analyze, document, and advise on legal issues and regulatory risks. Serve as a primary day-to-day legal advisor for clients and second-line risk partners in Compliance, and engage outside counsel as needed. Deliver practical, plain-English business counsel that aligns with business goals and regulatory requirements. What you have (Qualifications)
At least 5 years’ experience practicing law at a major law firm representing financial services companies, in-house with a large broker-dealer and/or investment adviser, or as a staff attorney with the Securities and Exchange Commission, FINRA, or a state securities regulator. Deep understanding of the Investment Advisers Act, the Securities Exchange Act and FINRA Rules and state laws and regulations relevant to broker-dealers and investment advisers. Working knowledge of ERISA impact on the provision of investment advice in brokerage and retirement accounts. Excellent communication skills and ability to brief senior business executives; ability to communicate effectively with non-lawyer partners. Ability to build trust and rapport with business clients and function as a highly engaged and responsive partner. What’s in it for you
Hybrid work and flexibility approach balancing ongoing commitment to workplace flexibility with in-person collaboration. Competitive benefits package including: 401(k) with company match and Employee Stock Purchase Plan; paid time off for vacation and volunteering; sabbatical after eligibility; paid parental leave and family building benefits; tuition reimbursement; health, dental, and vision insurance. Job details
Seniority level: Director Employment type: Full-time Job function: Legal
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