Charles Schwab Corporation

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Job Locations US-DC-Washington
The Technology, Digital & Innovation Legal Group (TD&I) in the Legal Services Department is looking for a Senior Specialist to complete a broad variety of project management and administrative tasks to support the efficient running of our fast moving team. The Senior Specialist will provide primary support to the Managing Director and Chief Counsel and the leadership team. Responsibilities include but are not limited to: calendar management, work flow assistance, database management, project management oversight for high priority engagements, coordination with Corporate Vendor Management on transactions, expense reporting, creation of presentations and reports, liaison contact for the Legal Operations and Strategic Initiatives (Legal Ops) team to assist with deployment and training on corporate applications. In addition, the Senior Specialist will handle other duties as assigned.
Requisition ID
2021-72967
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/31/2021
Job Locations US-TX-Westlake | US-TX-Austin | US-AZ-Phoenix
As the company’s second line of defense, Compliance helps our first line Business Partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the Firm. We accomplish this through providing advice and guidance to our business partners regarding the applicability of rules and regulations; advice on policies, procedures and controls; reviewing User Stories in Jira; reviewing advertising and communications with the public; and employing a variety of technologies and analytics.   The Senior Manager, Digital and Communications Compliance position is within Corporate Compliance and is focused on providing compliance-based advice and guidance to the Firm’s Digital Services teams. The Senior Manager will work closely with business partners within the Digital Services teams to ensure that enhancements and innovations across a wide range of products and services align with the Firm’s stated policies and procedures and applicable regulatory requirements. The Senior Manager will be involved in all aspects of the Firm’s digital innovation journey -- from idea inception to development to production implementation – and will interact with peers and leadership across a range of business units. The Senior Manager will also collaborate with other Compliance partners, Corporate Risk Management, Legal, business peers and SMEs to build strong relationships and identify and mitigate risks, while helping ensure compliance.
Requisition ID
2021-72927
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/31/2021
Job Locations US-TX-Westlake | US-TX-Austin | US-AZ-Phoenix
Schwab Compliance is seeking a Senior Manager to support the Advisor Services Enterprise. Advisor Services provides custodial and trading services to Registered Independent Advisors (RIAs). This team provides regulatory guidance to Advisor Services business partners on items such as changes to regulatory developments, existing products, and mitigation of issues as they arise. This role will be an individual contributor reporting to the Managing Director of Advisor Services Compliance.
Requisition ID
2021-72813
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/31/2021
Job Locations SG-Singapore
The International Compliance Group supports the compliance and regulatory responsibilities for the Charles Schwab and TD Ameritrade regulated entities outside of the U.S., including TD Ameritrade Singapore Pte. Ltd. (“TDASG”), a foreign broker dealer. This role will serve as TDASG Compliance Officer and partner with supervision and operational business units in Singapore and the U.S. to support TDASG’s compliance with applicable laws, rules, and regulations; implement regulatory requirements, and identify areas for improvement. The role requires sound knowledge of the Singapore regulatory environment, and an understanding of securities and derivatives industries, as well as TDASG’s product and services offerings and policies and procedures.  
Requisition ID
2021-72613
Category
Legal & Compliance
Position Type
Regular
Job Locations US-TX-Westlake | US-TX-Austin | US-NV-Henderson | US-CA-San Francisco | US-AZ-Phoenix
This is an excellent opportunity for an experienced compliance professional to join a growing line of business. The Director, Fiduciary & Trust Compliance, will serve as the second line of defense subject matter authority and provide regulatory oversight and advice with respect to policies, procedures, and controls vital to achieve compliance with applicable regulatory requirements. This role will partner with other SMEs across Compliance to provide feedback from a One Voice perspective. The role will report to the Director of Banking Trust Services.
Requisition ID
2021-72602
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/31/2021
Job Locations US-TX-Westlake | US-DC-Washington
We are recruiting a Director, Legal Counsel to support our Advertising, Marketing and Brand Protection practice group. The attorney will work with business leaders and their staff to enable Schwab’s marketing and client acquisition efforts and advise on related regulatory requirements.
Requisition ID
2021-72519
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/23/2021
Job Locations US-TX-Austin | US-TX-Westlake
Corporate Legal Services provides legal advice to all aspects of Schwab's business. This in-house counsel position will be in our Broker-Dealer, International, and Futures Legal Group within Corporate Legal Services. This team serves as enterprise counsel for the client-facing businesses of Schwab, including Advisor Services, and Investor Services, and serves as counsel for Schwab’s Operational Services business which supports all of the client-facing business units. This Legal Counsel Director position is within the Advisor Services legal team.
Requisition ID
2021-72389
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/31/2021
Job Locations US-TX-Westlake | US-TX-Austin
Charles Schwab is looking for a Director, Legal Counsel to support multiple retail-focused business units and work daily with managers and director level business clients as a trusted counselor and partner! This critical role will counsel the business on private wealth management issues and the creation, distribution, and sales of broker-dealer products and services against the evolving backdrop of federal and state regulation, including requirements to identify, disclose and control conflicts of interests and other risks.
Requisition ID
2021-72062
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/31/2021
Job Locations US-TX-Westlake | US-TX-Austin | US-CA-San Francisco | US-AZ-Phoenix
The Compliance Regulatory program handles the firm’s relationships with securities regulators. The program also supports prudential examinations by banking regulators of the banks and trust companies as well as the Compliance Department. The program works closely with Bank and Trust Services Compliance and the Legal department to support these examinations. This role is Compliance’s internal central point of contact for examinations by banking regulators, and is the Head of Compliance Regulatory for Banking Exams. This person will partner with the Legal department on exam management and advocacy related to compliance examinations and inquiries from the following regulators: Federal Reserve Bank (FRB), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corp. (FDIC), and state bank and trust regulators. The Head of Compliance Regulatory for Banking Exams will have a leadership role in shaping and guiding the compliance department’s regulatory interactions in this area to ensure we continue to earn the trust of our clients and other partners every day.   The Head of Compliance Regulatory for Banking Exams will engage with internal and external partners (regulators and industry groups) to ensure Schwab’s compliance policies, programs and processes align with the firm’s compliance risk appetite and the external industry and regulatory environment. In addition, this person will partner with business unit management, business divisions, and third parties to “connect-the-dots” between Schwab’s maintenance of an advised control environment and how emerging issues or trends identified by regulators or evidence in the economic and business environment may impact Schwab’s strategic positioning.
Requisition ID
2021-72003
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/31/2021
Job Locations US-TX-Westlake | US-TX-Austin | US-AZ-Phoenix
In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the firm. We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join our Monitoring and Surveillance team as a Director. The Director is an individual contributor and will continually evaluate and make recommendations to enhance monitoring and surveillance, drive efficiencies to create scale to accommodate new products and regulations, as well as develop and cultivate strong partnerships across Compliance, Legal, Corporate Risk Management, and with business partners.
Requisition ID
2021-71718
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/31/2021
Job Locations US-IL-Chicago | US-CO-Lone Tree | US-TX-Westlake | US-DC-Washington
As a member of Schwab’s legal department, you will be responsible for providing legal advice and counsel to our Treasury group, particularly our growing Treasury Capital Markets and Securities Lending businesses.
Requisition ID
2021-71377
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/30/2021
Job Locations US-TX-Westlake | US-NY-New York | US-IL-Chicago | US-AZ-Phoenix
In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices that build client trust and safeguard the integrity of the firm. This is an opportunity to become a member of a robust Compliance team giving to the maturity of the compliance program for our rapidly growing multi-legal entity organization. This position is the chance to partner with the Trading Operations team by providing ongoing advice and ensuring that compliance risks at both our broker-dealers are understood and addressed.
Requisition ID
2021-71110
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/20/2021
Job Locations US-TX-Westlake
You will be responsible for providing legal advice and counsel for an experienced Senior Lending Team and will be working on high-profile consumer and commercial loans for some of Charles Schwab’s top clients.
Requisition ID
2021-69283
Category
Legal & Compliance
Position Type
Regular
Requisition Post Information* : Post End Date
8/30/2021

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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.

 

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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.