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Director Legal Counsel - Litigation & Regulatory Group

Location Westlake, Texas, United States; Washington,Washington, DC,United States; Requisition ID 2022-79526 Category Legal & Compliance Position Type Regular
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Your Opportunity

This position in the Litigation & Regulatory Group is primarily responsible for the defense of litigation claims against the Company, including lawsuits and arbitrations. This attorney handles a large docket of arbitration cases with minimal direction and supports external and in-house counsel in defending larger lawsuits and arbitrations. This attorney also may handle, or assist in handling, regulatory enforcement matters or investigations involving the Company. Responsibilities include conducting research, factual investigation and discovery, interviewing witnesses, drafting pleadings and written submissions, discussing with opposing and appearing in FINRA arbitrations on behalf of the Company. The legal matters handled by this attorney often involve significant dollar amounts and issues of importance to the firm. This attorney also provides legal advice and counseling to operational, risk and compliance groups in the Company.

Workplace Flexibility Program: We're proud to support our employees in a working approach that allows you to bring your best self to work – whether that’s in the office or remote.

  • Most Schwabbies have the opportunity to voluntarily work in the office or at home based on their preference*
  • When the firm is ready to fully return to the office, employees will have the flexibility of a hybrid work environment, spending some time working remote and some time in the office.
  • Employees and managers can discuss and decide what works best for them, with additional flexibility available based on their role, business needs, and individual circumstances.

*Subject to change as Schwab is continually evaluating the current environment in order to best care for the safety and well-being of our employees.

What you are good at

  • Represent the Company as lead trial counsel in FINRA arbitration proceedings. Strategically analyze, develop and carry out a plan to defend legal claims against the Company. Conduct factual investigation encompassing relevant documents and information; identify and prepare key witnesses and partners; prepare cases and defend Company at arbitration hearings through any post-trial proceedings. Evaluate cases for settlement and handle settlement discussions, including mediations.
  • Assist and support external counsel and the Company’s other counsel in defending larger lawsuits and arbitrations. Review legal briefs prepared by external counsel, participate in strategic and tactical decisions in the litigation. Review invoices submitted for professional services rendered by external counsel and authority consultants and witnesses.
  • Possess and apply to legal claims a broad knowledge and understanding of the Company and its various businesses, the regulatory framework in which the Company operates, and the broker-dealer and financial services industry generally.
  • Provide to internal partners timely, practical and understandable advice regarding litigation/arbitration risk and lessons learned in defending claims.
  • Supervise external counsel and effectively handle case-related expenses.

What you have

  • The ability to work reciprocally in a team environment and develop positive working relationships with Company colleagues, external counsel, opposing counsel and other constituents
  • Excellent judgment that often must be exercised in sophisticated or unexpected circumstances
  • Outstanding written and oral communication skills
  • Strong organizational skills and attention to detail
  • Keen sensitivity to significant developments in claims against the Company that warrant advising supervisors and other partners

Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.

Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further.

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here to see the policy.

Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at or call 800-275-1281.

TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.

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