Director Legal Counsel

s
Company: Charles Schwab
Location: Chicago, IL

Apply

Your Opportunity

The Director, Legal Counsel will be lead lawyer for Schwab’s marketing efforts and provide guidance regarding client development and promotional campaigns.

What you’re good at

  • Guide Central Marketing in pursuing their goals of growing the firm’s client base, strengthening client relationships, and differentiating Schwab in the marketplace while minimizing risk to the firm. Review of marketing and promotional materials, as consideration of relevant privacy issues (e.g., CAN-SPAM requirements).
  • Support Retail Client Acquisition in pursuing goals related to increasing new-to-firm households and assets while minimizing risk to the firm. Relevant efforts and projects may include promotional offers, marketing campaigns, television, online and print advertisements, digital and other referral relationships, the referral’s program, and creation of social media policies and procedures.
  • Support Social Media firm-wide by staying abreast of relevant legal and regulatory developments, participating in internal and industry committees, assisting with the implementation of Schwab’s social media strategy and programs
    Advise Schwab’s risk management infrastructure on issues relating to marketing or client acquisition.
  • This position will also assume counseling responsibilities for other broker-dealer activities and receive other assignments depending on experience and overall team workload.

What you have

  • A minimum of 7 years of relevant law firm or in-house counsel experience with a financial services company that includes broker-dealer matters, or experience with an industry regulator.
  • Substantial background and experience with the Communications with the Public regulations and guidance of the Financial Industry Regulatory Association (FINRA).
  • Additional experience in one of more of the following product areas strongly preferred but not required: sales and trading of equity options, commodity futures, or fixed income securities.
  • Strong working knowledge of the Securities Exchange Act of 1934, FINRA rules and other applicable regulations.
  • Excellent verbal and written briefing skills.
  • Ability to advise on day-to-day issues in a fast-paced environment with an eye on regulatory changes and risk management.
  • BA/BS and JD degree from an ABA accredited law school are required as well as an Illinois State Bar membership in good standing or satisfy the requirements of Illinois Supreme Court Rule 716 for in-house counsel