Joan Schwartz

Chief Legal Officer

Joan Schwartz is the Chief Legal Officer, Managing Director and a member of the Executive Committee for Pershing. Joan develops and leads Pershing’s legal strategy. She manages a global team of lawyers responsible for all legal issues and regulatory requirements for the firm’s broad array of products and services. She is also chief advisor to Pershing’s Executive Committee.

As an advocate for Pershing clients and the financial industry, Joan works with regulatory bodies to help assess the implications of proposed regulations. She is a frequent speaker at industry events and regularly meets with clients to advise on the impact of changes and how to manage risk. She and her team work with business partners throughout the firm to ensure there are protocols in place for risk management, including the protection of client data and client assets, anti-money laundering and all areas of corporate governance.

Joan began her career as an attorney in the financial services industry with Prudential Securities Inc. and was with Wachovia Securities LLC and First Clearing LLC before joining Pershing in 2008. Joan is a member of SIFMA’s Compliance and Legal Division and past chair of SIFMA Clearing Firm Committee.

She earned a Bachelor of Arts degree from Binghamton University and a Juris Doctorate degree from Brooklyn Law School.