Senior Corporate Paralegal

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Job ID:
20170511-2354
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Financial Services-6+ yrs, Legal-6+ yrs, Banking-6+ yrs, Regulatory, Compliance
Current Licenses / Certifications:
None
Position Located In:
CA - San Francisco
Education:
BA/BS
Job Type:
Full Time
Description:

San Francisco - CA, SF211MN, 211 Main St, 94105-1905
Jose Tolentino
20170511-2354

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: 

The Office of Corporate Governance supports the board of directors and committees for The Charles Schwab Corporation and subsidiaries.  It is responsible for legal and regulatory matters pertaining to public companies and financial services holding companies, and responsibilities of directors and officers thereof.  As a Senior Manager, Corporate Governance, you will assist  the Office of Corporate Governance with general corporate legal matters, including assisting with Section 16 reports, beneficial ownership requirements, and tracking responses to director and officer questionnaires.  You also will be responsible tracking legal entity formations, changes and dissolutions in compliance with federal regulations, specifically as they relate to Federal Reserve Y-10 and Y-6 reporting requirements.  You will work with attorneys and business partners to incorporate changes in reporting requirements and to understand changes that need to be reported.

What you’ll do: 

You will support the Office of Corporate Governance in tracking all legal entity formations, changes and dissolutions in compliance with federal, Dodd-Frank regulations, and other regulatory reporting requirements, including:

  • Preparing and filing stock transactional reports on Forms 3, 4, and 5,
  • Tracking beneficial ownership of directors and executive officers,
  • Assisting with the tracking and review of related party transactions and director independence determinations,
  • Assisting with the preparation of and dissemination of director and officer questionnaires.
  • Analyzing legal entity changes to determine whether a Y-10 report is required,
  • Preparing Y-10 reports for filing with the Federal Reserve,
  • Maintaining all data elements required to track the lifecycle changes of the entities and ensure filings are created and submitted to the Federal Reserve with accuracy and on time,
  • Liaising with partners across business entities to monitor, track and validate legal entity activity submissions,
  • Validating legal entity changes with supporting legal documents to ensure data reporting integrity,
  • Maintaining a legal document repository to reflect all legal entity changes from formation through termination,
  • Monitoring changes to instructions and guidance with respect to Federal Reserve reports, seeking legal guidance where appropriate, and adjusting reporting processes to comply with changes,
  • Recommending, developing and implementing actions to improve process quality.

What you have: 

Background:  Extensive experience as a paralegal in the corporate legal, banking or finance industry..  Experience with corporate governance matters and/or in federal regulatory reporting (FR Y-10 and FR Y-6) strongly preferred.  Bachelor’s degree required.

Organizational skills.  Consistently manage workloads effectively, use resources efficiently, and orchestrate multiple activities at once to accomplish a goal.  Ensure that all follow up responsibilities are completed timely and with minimal supervision.  Anticipate, improvise, and adapt for optimal resolutions.

Communication skills.  Ability to write clearly and succinctly.  Ensure effective communication with business partners in assisting with all aspects of meeting logistics.  Can communicate effectively with senior executives to express thoughts and ideas clearly.  Presents articulately when speaking with an individual or before a group assuring that others fully comprehend the intended message.

Process Oriented.  Capability to improve and implement structures process.  Good at figuring out the processes necessary to get things done, knows how to organize people and activities, understands how to separate and combine tasks into efficient work flow, understands business needs and trends and can see opportunities for synergy and integration.

Attention to Detail.  Double-checks the accuracy of information and work product to provide accurate and consistent work. Provides information on a timely basis and in a usable form to others who need to act on it. Carefully monitors the details and quality of own and others' work.  Completes all work according to procedures and standards.

Problem solving skills.  Builds a logical approach to address problems or opportunities or manage the situation at hand by drawing on one's knowledge and experience base, and calling on other references and resources as necessary. Thinks of several possible explanations or alternatives for a situation and anticipates potential obstacles and develops contingency plans to overcome them. Identifies the information needed to solve a problem effectively. Presents problem analysis and recommended solution to others rather than just identifying or describing the problem itself.

Client Focus.  Dedicated to meeting the expectations and requirements of internal and external clients.  Act with the client in mind. Establish and mainain effective relationships with clients and gain their trust and respect.

Computer skills.  Proficiency with Microsoft Office 2003/2010 (Outlook, Word, Excel, PowerPoint).

What you’ll get:

  • Comprehensive Compensation and Benefits package
  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
  • 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.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Financial Services-6+ yrs, Legal-6+ yrs, Banking-6+ yrs, Regulatory, Compliance
Position Located In: CA - San Francisco
Education: BA/BS
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Friday, September 8, 2017
Expiration Date: Wednesday, November 1, 2017
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Apply Now    

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.