Job description
Your Opportunity
The position assists legal counsel in supporting the Schwab Funds’ and Schwab ETFs’ Board of Trustees and the SAM (Schwab Asset Management) Board Relations Team. Attention to detail is a crucial skill to provide an initial critical review or initial preparation of all Board materials prior to review by the responsible legal council. The position also serves as a key first line for the business to connect with the legal department on Board matters, and also prepares draft resolutions, due diligence questionnaires and other routine Board materials. The role also supports the legal department with certain regulatory disclosures, LEI filings and other ad-hoc processes.
What you are good at
Assist SAM attorneys in support of fund and investment advisor governance functions, including, but not limited to, (i) review and processing of Fund Board meeting material and, preparation of Board resolutions and communications, (ii) interfacing with Fund Board Relations and Board coordinators and other business counterparts, (iii) preparation and review of legal due diligence questionnaires, (iv) preparation of SAM legal presentations to the Board, (v) attendance at Board meetings as minute taker and drafting of Board minutes, and (v) preparation and coordination of shareholder meetings.- Support SAM Legal with Board related shareholder report disclosures.
- Provide general project administration and management support to, among other things, (i) in responding to regulatory exams and inquiries, including tracking of timelines and deliverables, coordinating document production, and drafting and packaging responsive documents, and (ii) review of requests for proposals and due diligence requests in connection with Schwab proprietary fund offerings.
- Effect various regulatory filings on behalf of SAM Legal, including, but not limited to, CFTC filings and FINRA filings.
- Serve as supplemental resource for review and filing of SEC and other regulatory documents, including fund registration statements and shareholder reports.
What you have
Bachelor’s degree, with a paralegal certificate a plus- Minimum of 3-5 years experience in the securities industry or securities or corporate law department of a law firm; experience supporting a Corporate Secretary office is a plus.
- General understanding of corporate governance processes, and familiarity with registered investment companies (desired), with ability to review, proof and assess fund board materials relative to business standards, with great attention to detail.
- High level of accuracy and attention to detail, particularly in written documents.
- Excellent organizational and time management skills with the ability to prioritize and manage multiple tasks simultaneously while maintaining a team orientation.
- Strong analytical and research skills.
- Excellent oral and written communication skills.
- Ability to spot and raise issues, and delegate projects and tasks.
- Ability to manage projects involving all staff levels, business partners, outside counsel and service providers.
- Excellent interpersonal and customer service skills.
- Understanding of investment adviser and investment company documents and filing requirements
- Ability to work productively as part of a team and independently.
In addition to the salary range, this role is also eligible for bonus or incentive opportunities
Why work for us?
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.
Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future.
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.
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