Charles Schwab
Director, Legal Counsel- Alternative Investment Platforms
Charles Schwab, Westlake, Texas, United States
Director, Legal Counsel- Alternative Investment Platforms
Join to apply for the
Director, Legal Counsel- Alternative Investment Platforms
role at
Charles Schwab
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
The Third-Party Product Platforms (TPP) legal team is responsible for providing legal support to several of Charles Schwab & Co., Inc.’s product platforms through which products are available for purchase by our clients, including mutual funds, exchange-traded products, insurance and annuities, 529 Education Savings Plans and alternative investments.
As a
Director, Legal Counsel- Alternative Investment Platforms , you will primarily provide legal support of the platforms on which alternative investment products are made available to the customers of Charles Schwab & Co., while also taking on additional responsibilities related to other product platforms from time to time.
Support will include strategic initiatives, regulatory compliance, and negotiating agreements with product issuers or advisers. The ideal candidate will have experience in both support of broker‑dealer product platforms and the organization and distribution of registered funds (liquid alternatives) and private funds. Candidate should have familiarity with the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and relevant FINRA rules.
We believe in the importance of in‑office collaboration and fully intend for the selected candidate for this role to work on site in the specified location(s). This role is expected to work in the office 4 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 or disclosures, policies and procedures.
Monitor regulatory developments applicable to alternative investments and advise senior leadership and the business on the impact.
Build and maintain strong partnerships with relevant Platform/Offer teams and compliance and legal colleagues to ensure clear alignment and priorities within the appropriate 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 practice related to financial services or practical business experience may be substituted 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 professional with excellent people skills and able to work independently.
Currently authorized to work in the United States on a full‑time basis without employer sponsorship.
In addition to the salary range, this role is also eligible for bonus or other incentive opportunities.
What’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.
Benefits
401(k) with company match and Employee Stock Purchase Plan
Paid vacation, volunteering time, 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
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Director, Legal Counsel- Alternative Investment Platforms
role at
Charles Schwab
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
The Third-Party Product Platforms (TPP) legal team is responsible for providing legal support to several of Charles Schwab & Co., Inc.’s product platforms through which products are available for purchase by our clients, including mutual funds, exchange-traded products, insurance and annuities, 529 Education Savings Plans and alternative investments.
As a
Director, Legal Counsel- Alternative Investment Platforms , you will primarily provide legal support of the platforms on which alternative investment products are made available to the customers of Charles Schwab & Co., while also taking on additional responsibilities related to other product platforms from time to time.
Support will include strategic initiatives, regulatory compliance, and negotiating agreements with product issuers or advisers. The ideal candidate will have experience in both support of broker‑dealer product platforms and the organization and distribution of registered funds (liquid alternatives) and private funds. Candidate should have familiarity with the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and relevant FINRA rules.
We believe in the importance of in‑office collaboration and fully intend for the selected candidate for this role to work on site in the specified location(s). This role is expected to work in the office 4 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 or disclosures, policies and procedures.
Monitor regulatory developments applicable to alternative investments and advise senior leadership and the business on the impact.
Build and maintain strong partnerships with relevant Platform/Offer teams and compliance and legal colleagues to ensure clear alignment and priorities within the appropriate 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 practice related to financial services or practical business experience may be substituted 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 professional with excellent people skills and able to work independently.
Currently authorized to work in the United States on a full‑time basis without employer sponsorship.
In addition to the salary range, this role is also eligible for bonus or other incentive opportunities.
What’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.
Benefits
401(k) with company match and Employee Stock Purchase Plan
Paid vacation, volunteering time, 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
#J-18808-Ljbffr