Director Legal Counsel, Senior Trust and Retirement

6 days ago

Austin, United States Charles Schwab Full time
Your Opportunity

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.

We are recruiting for a newly created mission-critical Director level, Senior Trust and Retirement Counsel position for an individual with demonstrated legal proficiency in ERISA and employee benefit plans including IRA programs.

The Director- Trust and Retirement Legal is responsible for supporting the day-to-day requirements of the Employee Benefit Plan and Individual Retirement Account products offered by Charles Schwab and Co. (CS &Co.)

The position will also provide legal support to the IRA and small plan products provided as part of the Tax Advantaged Product (TAP) business line of CS & Co. The TAP line includes owner-employee individual 401(k) plans, SEP and simple plan products.

This position will assume primary responsibility for the legal support of Corporate Brokerage Retirement Services (CBRS) which provides self-directed brokerage window products to qualified retirement and health and welfare plans, including health savings accounts (HSAs). This position will also provide advice on ERISA issues relating to investment management or advice offers provided through CS &Co.and Schwab Asset Management (SAMS)

Responsibilities:

You will provide legal support to the day-to-day business activities of the CBRS and TAP business lines. This will include:
  • Providing subject matter expertise in connection with the development of new CBRS or TAP products or new features of existing products and services, including the creation of template or form agreements for new or enhanced products and services.
  • Drafting, reviewing and negotiating documentation relating to the establishment of CBRS or TAP accounts.
  • Providing advice and counsel relating to the day-to-day administration of CBRS or TAP relationships.
  • Review of marketing materials for the CBRS and TAP products.
  • Participating in negotiation of customer, service provider and other agreements relating to the CBRS and TAP products.
  • Assisting with managing litigation and threatened litigation or complaints relating to the CRBS or TAP products, including managing outside counsel.
  • Partnering with Schwab's broader legal, compliance, risk and audit groups.
  • Conducting research and participating in industry association meetings to keep abreast of relevant legal and regulatory developments.
**This is a hybrid position

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:

Requirements:
  • JD degree from an accredited law school.
  • Admitted to the Bar in at least one U.S. jurisdiction.
  • 10 plus years of professional experience as a practicing attorney in a law firm specializing in ERISA and employee benefit plan matters or in-house experience with a bank, broker-dealer, trust company or wealth management firm supporting a wide variety of retirement products.
Preferred Qualifications:
  • Thorough knowledge of ERISA and a high-level knowledge of all Federal and State tax aspects of employee benefit plans and IRAs.
  • Drafting and document review skills for account documentation including brokerage agreements, trust or custody agreements, and related documentation.
  • Solid research skills and the ability to formulate solid legal advice and strategies related to the establishment and administration of employee benefit plan and IRA products and relationships.\
  • The ability to recognize and mitigate legal risks related to the onboarding and administration of employee benefit and IRA relationships administered by CS &Co. or Charles Schwab Trust Bank.
  • Knowledge of State and Federal bank regulatory requirements applicable to bank-affiliated broker-dealers, corporate trustees and the operation of a retirement and employee benefit business is a plus.
  • Experience or a general familiarity with the business operations of a broker/dealer is a plus.
  • Strong organizational and communications skills; and
  • Excellent interpersonal skills and the ability to interact with all levels of staff including senior management as well as plan sponsors, retirement investors and their legal representatives.

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