At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
The Risk and Regulatory Legal Group is affectionately and colloquially known as the flagship of Schwab's Legal Department. RiskReg encompasses several areas, including regulatory relationships and defense; human resources and employment; litigation and arbitrations; and internal investigations, which is where this position is based.
This position in the Risk & Regulatory Group is primarily responsible for internal investigations. This attorney handles, or assists in handling, investigations or regulatory enforcement matters involving the Company. Responsibilities include factual investigation, interviewing witnesses, drafting reports and presenting findings to key stakeholders. The legal matters handled by this attorney involve sensitive issues of importance to the firm. This attorney also provides legal advice and counseling to operational, risk, and compliance groups in the Company.
Your responsibilities will include:
Investigations: Strategically analyze, develop, and execute investigations on behalf of the Company. Conduct attorney-client privileged investigations, gathering and assessing relevant documents and information; identify and interview key witnesses and stakeholders and engage outside resources as appropriate to assist with investigations. Evaluate trends and themes across investigations for escalation to appropriate personnel.Collaborating: Work across the legal department and with business counterparts and corporate affairs to ensure transparency and alignment; proactively identify risks and recommend mitigation strategies.Leading: Possess and apply to investigations 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. Assist and support external counsel and the Company’s other counsel in investigating significant matters. Learning: You will work on cutting edge financial and regulatory issues essential to Schwab’s business strategy: our portfolio of investigations matters includes a remarkable variety, including those based in broker dealer, bank, and securities laws and regulations. Having fun: Culture is important to us! You’ll be joining a terrific team and some of the best professionals in the industry. While this is serious work, none of us take ourselves too seriously.Other duties as otherwise assigned: IYKYK. And when you’re in investigations and the regulatory enforcement space, you know that it’s impossible to capture everything in a simple job description.
What you have
To ensure that we fulfill our promise of “challenging the status quo,” this role has specific qualifications that successful candidates should have:
Required Qualifications:
A law degree (JD or equivalent) from an accredited US law school and are admitted to and in good standing with at least one U.S. state bar. 8 plus years of experience as a practicing attorney in-house, at law firm, or at a regulator. 3 plus years of experience performing investigations in-house or as external counsel, preferably relating to financial services matters.
Preferred Qualifications:
Strategic, practical, and creative insights with excellent emotional intelligence and outstanding client relationship management and negotiation skills. Strong organizational skills and attention to detail.Extraordinary interpersonal and communication skills and excellence at communicating information effectively internally and externally, including to non-legal audiences.Excellent judgment and comfort making critical decisions under challenging circumstances and compressed timelines. Keen sensitivity to significant developments in investigations that warrant apprising supervisors and other stakeholders.Comfort with people-from from the most senior executive leaders to folks that have never talked to a lawyer before—and being equally at home in a conference room, a board room, a virtual meeting, or a courtroom. Confidence and decisiveness.A love for challenges and solving problems, taking pride in your work, and finding joy in the process.
In addition to the salary range, this role is also eligible for bonus or incentive opportunities.
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