Director, Legal Counsel (Schwab Corporate Brokerage Services)

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Job ID:
20160930-3585
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Financial Services-6+ yrs, Legal-6+ yrs, Investment Management - 6+ yrs, Regulatory, Banking-6+ yrs, Retirement Services-6+ yrs, Compliance
Current Licenses / Certifications:
None
Position Located In:
OH - Richfield
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:

The Corporate Legal Services Department provides legal advice to all aspects of Schwab’s business. This in-house counsel position will support Schwab’s Corporate Brokerage Services, which includes self-directed brokerage window products and
Schwab Retirement Technologies. 

What you’ll do:

The primary responsibilities of the Director, Legal Counsel will include providing advice in connection with legal matters arising out of Schwab’s Corporate Brokerage Services, which includes self-directed brokerage window products and Schwab Retirement Technologies.  Additional responsibilities will include:

  • Working independently to quickly answer numerous alternative investment questions presented in day to day work flows while exercising discretion and keen judgment.
  • Advising on projects and initiatives designed to build new offers, programs and technology solutions.
  • Providing legal support and guidance on issues related to Schwab’s Retirement Plan Services.

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:

To qualify, you must have the following (unless otherwise indicated):

  • J.D. Degree
  • Bar admission (Ohio)
  • 5-7(+) years, minimum, of law firm, in-house counsel experience with a financial services company, or experience with an industry regulator, that includes retirement plans, broker-dealer and investment adviser matters.

Strong working knowledge of:

  • Employee Retirement Income Security Act of 1974 (ERISA)
  • Investment Advisers Act of 1940
  • Securities Exchange Act of 1934
  • Background and experience with self-directed brokerage window products and fiduciary activities.
  • Excellent verbal and written briefing skills.
  • Abilities to advise on day-to-day issues in a fast-paced environment with an eye on regulatory changes and risk management are important skills for this position.

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.com

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:OH - Richfield
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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.