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Alyssa Huffman

Chief Compliance Officer, Schwab Wealth Advisory, Inc.

Charles Schwab•Austin, Texas, United States

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Experience25+ Years
LevelCXO

Career Timeline

Professional employment history
  • Charles SchwabCurrent
    Nov 2013–Present· 12 yrs 10 mos
    • Chief Compliance OfficerCurrent
      Apr 2024–Present
    • Director, Retail Wealth Management Compliance
      Feb 2024–Dec 2025
    • Director - Compliance Policies & Training
      Apr 2018–Feb 2024
    • Managing Director
      Dec 2015–Mar 2018
    • Senior Manager - Compliance
      Nov 2013–Dec 2015
  • Self Employed
    Jun 2013–Nov 2013· 5 mos
    • Independent Contractor
      Jun 2013–Nov 2013
  • Voya Investment Management
    Jul 2003–Apr 2013· 9 yrs 9 mos
    • Assistant Vice President - Fund Compliance
      Mar 2013–Apr 2013
    • Fund Compliance Manager
      Mar 2011–Mar 2013
    • Fund Compliance Supervisor
      Mar 2009–Mar 2011
    • Senior Fund Compliance Analyst
      2007–Mar 2009
    • Senior Legal Analyst
      Jul 2003–2007
  • Dechert LLP
    Jun 2001–Jun 2003· 2 yrs
    • Legal Administrative Assistant
      Jun 2001–Jun 2003

Education

Master of Business Administration (MBA)

University of Arizona, Eller College of Management

Bachelor of Arts (BA)

International Affairs

The George Washington University

Executive Relationship Map

Reports To
Alyssa Huffman
Vice Chair & President
Chief Financial Officer
Chief Technology Officer
Chief Operating Officer

Executive Network Preview

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Skills & Expertise

12 of 12 skills
Employee ManagementCharles River IMS1940 ActComplianceFinancial ServicesTeam LeadershipMicrosoft OfficeSecurities RegulationMutual FundsAnalysisBuilding RelationshipsAdobe Professional