Leigh (Bothe) Shea
Deputy Chief Counsel, Legal Risk & Regulatory
Charles Schwab•Omaha, Nebraska, United States
View LinkedIn ProfileExperience23+ Years
LevelCXO
Executive Overview
Experienced Senior Lawyer with a demonstrated history of working in the financial services industry. Skilled in Financial Regulation, Broker-Dealer Regulation, Securities and Commodities Regulation, and FINRA. Strong finance professional with a J.D. focused in Securities Law from The Catholic University of America, Columbus School of Law.
Career Timeline
- Charles SchwabCurrentOct 2021–Present· 5 yrs
- Deputy Chief Counsel, Managing Director, Legal Risk and RegulatoryCurrentOct 2021–Present
- Oct 2012–Oct 2021· 9 yrs
- Associate General Counsel - OperationsApr 2020–Oct 2021
- Senior Counsel - Financial and Clearing OperationsJun 2019–Apr 2020
- Counsel - Financial and Clearing OperationsJul 2016–Jun 2019
- Associate CounselOct 2012–Jul 2016
- Sep 2009–Sep 2012· 3 yrs
- Attorney-AdvisorSep 2009–Sep 2012
- Aug 2003–Jun 2006· 2 yrs 10 mos
- AuditorAug 2003–Jun 2006
Education
J.D.
Law
The Catholic University of America, Columbus School of Law
BBA
Accounting
University of Notre DameExecutive Relationship Map
Reports To
Leigh (Bothe) Shea
Vice Chair & President
Chief Financial Officer
Chief Technology Officer
Chief Operating Officer
Skills & Expertise
Financial RegulationFINRADue DiligenceComplianceCorporate GovernanceSecuritiesCorporate LawSecurities RegulationCapital MarketsDerivativesAccountingBanking