Director Legal Counsel - Litigation & Regulatory Group

Profile

Director Legal Counsel - Litigation & Regulatory Group
Duties: Represent the Company as lead trial counsel in FINRA arbitration proceedings. Strategically analyze, develop and carry out a plan to defend legal claims against the Company. Conduct factual investigation encompassing relevant documents and information; identify and prepare key witnesses and partners; prepare cases and defend Company at arbitration hearings through any post-trial proceedings. Evaluate cases for settlement and handle settlement discussions, including mediations. Assist and support external counsel and the Company’s other counsel in defending larger lawsuits and arbitrations. Review legal briefs prepared by external counsel, participate in strategic and tactical decisions in the litigation. Review invoices submitted for professional services rendered by external counsel and authority consultants and witnesses. Possess and apply to legal claims 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 defending claims. Supervise external counsel and effectively handle case-related expenses. Responsible for the defense of litigation claims against the Company, including lawsuits and arbitrations. Handle a large docket of arbitration cases with minimal direction and supports external and in-house counsel in defending larger lawsuits and arbitrations. Handle, or assist in handling, regulatory enforcement matters or investigations involving the Company. Conducting research, factual investigation and discovery, interview witnesses, draft pleadings and written submissions, discuss with opposing and appearing in FINRA arbitrations on behalf of the Company. Provide legal advice and counseling to operational, risk and compliance groups in the Company.

Qualification and Experience

Qualifications: Attorney with ability to work reciprocally in a team environment and develop positive working relationships with Company colleagues, external counsel, opposing counsel and other constituents. Excellent judgment that often must be exercised in sophisticated or unexpected circumstances. Outstanding written and oral communication skills. Strong organizational skills and attention to detail. Keen sensitivity to significant developments in claims against the Company that warrant advising supervisors and other partners.

Company info

Hiring Coordinator
Charles Schwab & Co., Inc
12481 High Bluff Drive
Suite 100
San Diego, CA 92130