Director, Legal Counsel (Risk & Regulatory Group)
This position in the Risk & Regulatory Group is responsible for leading and managing regulatory matters, specifically responding to the various enforcement divisions of key regulators. For example, this attorney will lead matters involving local, state, and federal regulatory or enforcement authorities, and will support matters involving commercial litigation and sensitive internal investigations. Responsibilities include conducting fact gathering and analysis, interviewing witnesses, drafting reports, and responding to the regulators. The legal matters handled by this attorney involve sensitive and confidential issues of importance to the firm. This attorney will also provide 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 r\eturn 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
- Strategically analyze, develop and execute responses to regulatory matters on behalf of the Company.
- Conduct attorney-client privileged investigations and reviews by providing strategic and tactical advice and direction; gathering and assessing relevant documents and information; identifying and interviewing key witnesses and stakeholders; and engaging outside resources as appropriate to assist with the responses.
- Evaluate trends and themes across regulatory matters for escalation to appropriate personnel.
- Assist and support external counsel and the Company’s other counsel in investigating significant matters.
- Possess and apply to regulatory responses 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 regulatory matters.
- Supervise external counsel and/or consultants and effectively manage regulatory-related expenses.
What you have
Experience serving as an attorney focused on securities-related matters at a state or federal regulatory agency strongly desired.
Significant experience responding and directly managing complex regulatory matters involving regulated entities.
Significant experience handling matters opposite local, state, and/or federal regulatory or enforcement authorities is very helpful.
Experience involving financial reporting, financial services, and financial transactions is very helpful.
The ability to work collaboratively in a team environment and develop positive working relationships with Company colleagues, external counsel and other constituents.
Sound judgment that often must be exercised in complex or unpredictable circumstances.
Exceptional written and oral communication skills.
Strong organizational skills and attention to detail.
Keen sensitivity to significant developments in regulatory matters to inform business 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 email@example.com 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.