Director, Legal Counsel

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Job ID:
20171017-5330
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Financial Services-6+ yrs, Legal-6+ yrs, Investment Management - 6+ yrs, Regulatory, Banking-6+ yrs, Brokerage Operations-6+ yrs
Current Licenses / Certifications:
None
Position Located In:
AZ - Phoenix
Education:
JD
Job Type:
Full Time
Description:

Phoenix - AZ, PHXPEAK, 2423 E Lincoln Dr, 85016-1215
Jose Tolentino
20171017-5330

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 Counsel provides legal advice to all aspects of Schwab's business.  This in-house counsel position will be a part of our Institutional & Retail Legal Team within the Office of Corporate Counsel.   This team serves as enterprise counsel for Schwab’s client-facing businesses, including Advisor Services, which provides custody, trading platform, and related services to independent registered investment advisors.

Our Institutional and Retail Legal Team is looking for a Legal Counsel Director to support their growing team.  

What you’ll do: 

This experienced attorney will serve as the day-to-day counselor for Advisor Services and its new and expanding suite of services to independent RIAs’ Family Office clients.  “Family Office” includes a variety of customized wealth management services for high net worth families.  This dynamic growth business continues to innovate and expand requiring hands-on legal counsel.  

The primary responsibilities of the Legal Counsel Director will include, but not be limited to, providing legal advice in connection with: 

  • Sales and service related legal matters (often complex) arising for family office clients and their advisors.
  • Projects and initiatives to create solutions for family offices.
  • Marketing initiatives designed to drive new family office business. 

This Legal Counsel Director will also be expected to assume other assigned tasks and projects in addition to his or her regular work schedule and to assist other attorneys on the team as circumstances may dictate.  

What you have: 

Technical/ Functional Qualifications:  

  • J.D. degree required. 
  • Active bar admission required.
  • 7 years, minimum, of law firm and/or in-house counsel experience required, with a financial services company that includes broker-dealer and investment adviser matters, or experience with an industry regulator.
  • Strong working knowledge of the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934 is required. 
  • The ideal candidate will also have background and experience with fiduciary activities, and trust and estate requirements, and FINRA rules.  
  • Excellent verbal and written communication (including briefing) skills, a must.
  • Must be curious and innovative; exceptionally client-focused; able to effectively and quickly build relationships and establish trust, respect, competence, and confidence; highly collaborative.
  • Ability to advise on complex day-to-day issues in a fast-paced environment with an eye on regulatory changes and isk management are important skills for this position, a must.  

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. 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.


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, Investment Management - 6+ yrs, Regulatory, Banking-6+ yrs, Brokerage Operations-6+ yrs
Position Located In: AZ - Phoenix
Education: JD
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Wednesday, November 1, 2017
Expiration Date: Saturday, December 2, 2017
Apply Here
Apply Now    
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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.