Chief Legal Officer
Joan Schwartz is Chief Legal Officer, Managing Director and a member of the Executive Committee for Pershing, a BNY Mellon company. Since joining Pershing in July 2008, Joan has supervised the Legal Department staff, litigation, employment matters, regulatory inquiries, anti-money laundering-related issues and inquiries from law enforcement agencies. She is also chief advisor to Pershing’s Executive Committee and business units and lead counsel representing Pershing in compliance and regulatory inquiries from regulators and law enforcement agencies.
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. Joan is a member of SIFMA’s Compliance and Legal Division and vice 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.