Charles Schwab

Facilitated regulatory interactions for Charles Schwab's broker-dealers, Investment Company and Registered Investment Advisors, and futures and foreign exchange business with regulatory bodies, including the SEC, FINRA, CFTC, NFA, and state and international regulators. Led a large and dynamic team of professionals to address regulatory inquiries and examinations, coordinating efforts across internal and external stakeholders. Ensured alignment of Schwab's policies, programs, and processes with risk tolerance and external regulations. Drove regulatory integration efforts establishing consistent practices and collaborated with business units and third-party vendors. Influenced executive management and business unit leaders on regulatory matters, building strong relationships with regulators to enhance Schwab's reputation.​

Leading a highly effective team responsible for identification, assessment, and reporting of Market, Liquidity, and Capital risks; Macroeconomic scenario design for Capital Stress Testing; Risk and Control Self Assessment (RCSA).

Managing Director in Financial Crimes, leading firmwide Fraud Risk Management, including global investigations and oversight of financial crimes compliance and operational risks. Previously led other areas in Third Party Risk Management, Data Risk Management, Incentive Compensation, Political Law, Charitable/Nonprofit Compliance, Corporate Compliance, Enterprise and Operational Risk.