Managing Director, Legal Counsel - Regulatory Enforcement & Arbitration

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Job ID:
20161205-4094
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Financial Services-6+ yrs, Legal-6+ yrs, Regulatory, Banking-6+ yrs, Compliance
Current Licenses / Certifications:
None
Position Located In:
CO - Lone Tree
Education:
JD
Job Type:
Full Time

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

This position is part of the six-lawyer Arbitration & Regulatory Enforcement group and will represent the Company and its subsidiaries in arbitrations, mediations and customer disputes, supervise outside counsel in other arbitration and litigation matters; and participate in the Company's defense in regulatory investigations and enforcement proceedings.

What you’ll do: 

Responsibilities include:

(1) Representing the Company in Financial Industry Regulatory Authority (FINRA) arbitrations and/or mediations ,  including conducting case research, drafting answers, conducting discovery, negotiating settlements and appearing as counsel at arbitrations and mediations.

2) Participating in the Company's defense in regulatory enforcement investigations and proceedings, including gathering and reviewing relevant documents, preparing responses to regulators, and preparing witnesses for testimony.

(3) Managing outside counsel who are representing the Company in various arbitration and regulatory matters.

(4) Providing legal advice to Schwab business units in a manner that accomplishes business objectives but avoids arbitration and litigation risk.

(5) Assisting the Third-Party Actions (TPA) group with certain subpoenas, court orders, garnishments and other legal documents.

What you have: 

  • JD degree and current admission in good standing to a state bar organization required;
  • Minimum 8 years’ experience handling broker-dealer arbitration, litigation or regulatory matters as an in-house attorney, or as an attorney at a law firm or regulatory agency;
  • Experience handling FINRA arbitration and mediation cases.
  • Knowledge of broker-dealer and securities industries, required.

This position also requires sound judgment and experience with respect to:

  • Conducting internal research and document gathering, analyzing the facts of arbitration matters and disputes, developing legal arguments, drafting answers, motions and other pleadings.
  • Negotiating with opposing counsel and regulators.
  • Developing positive working relationships with people across the Company  
  • Advocacy before arbitration panels and mediators.
  • Counseling business clients on litigation risk avoidance and mitigation measures.
  • Experience in managing or conducting large-scale discovery projects, including electronic discovery, highly desirable.
  • Proficiency using computerized litigation management software, and ability to master several internal systems required to conduct case research and document gathering.

What you’ll get:

  • Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
  • Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
  • Not just a job, but a career, with an opportunity to do the best work of your life.

Learn more about Life@Schwab.

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law.


Position Located In:CO - Lone Tree
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Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.

At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab’s hiring decisions. All other submissions should be performed online.

The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC , offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products.