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Chad Nichols

Chad Nichols

Chief Compliance Officer - Charles Schwab & Co. (Broker Dealer & Investment Adviser)

Charles Schwab•Denver, Colorado, United States

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Experience21+ Years
LevelCXO

Executive Overview

I am a business-minded, results-oriented leader with a track record of accomplishment in modernizing, collaborating, and driving regulatory success in compliance organizations. I emphasize partnering with the business to navigate our ever-changing regulatory landscapes in the face of complex policy, product and PR considerations.

Career Timeline

Professional employment history
  • Charles SchwabCurrent
    Jun 2020–Present· 6 yrs 4 mos
    • Chief Compliance Officer, Charles Schwab & Co., Broker Dealer and Investment AdviserCurrent
      Jun 2024–Present
    • Chief Compliance Officer, Broker Dealer Compliance, IA
      Nov 2023–Dec 2025
    • Chief Compliance Officer, Internal Audit
      Jul 2023–Dec 2025
    • Managing Director - Retail Compliance
      Jun 2020–May 2024
  • Janus Henderson Investors
    2017–2020· 3 yrs
    • Chief Compliance Officer
      2017–2020
    • Head of Distribution & ETP Compliance, North America
      2017–2020
  • Betterment
    2016–2017· 1 yr
    • Director of Compliance
      2016–2017
  • Janus Henderson Investors
    2013–2016· 3 yrs
    • Senior Compliance Manager - Sales Practices
      2015–2016
    • Compliance Manager - Advertising/Marketing/Social Media
      2014–2015
    • Sr. Compliance Analyst - MNPI, Advertising/Marketing/Social Media
      2013–2014
  • The Institute for Wealth Management
    May 2011–2013· 1 yr 8 mos
    • Chief Legal & Compliance Officer
      2012–2013
    • Legal & Compliance Officer
      May 2011–Mar 2012
  • Morgan Stanley
    2006–2008· 2 yrs
    • Financial Advisor
      2006–2008
  • UBS
    2005–2006· 1 yr
    • Investment Associate
      2005–2006

Education

J.D.

Law

University of Denver - Sturm College of Law

B.S.

Business Management

Washington and Lee University

Executive Relationship Map

Reports To
Chad Nichols
Vice Chair & President
Chief Financial Officer
Chief Technology Officer
Chief Operating Officer

Executive Network Preview

BizKonnect has mapped this leadership network including reporting hierarchies, peer connections, and cross-functional relationships.

Verified Contact Information
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Skills & Expertise

15 of 15 skills
ComplianceCorporate GovernanceSecuritiesCorporate LawSecurities RegulationMutual FundsFinanceDrafting AgreementsContract NegotiationDue DiligenceFinancial ServicesFixed IncomeEquitiesInvestment AdvisorySecurities law