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Tracy Saale, JD, CCEP, CRCP

Chief Conduct & Ethics Officer l Corporate Responsibility Officer l Vice President of Conduct and Ethics l General Counsel

Charles Schwab•Washington DC-Baltimore Area, United States

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Experience31+ Years
LevelCXO

Executive Overview

Established the risk management, conduct and ethics program for a Fortune 500 company. Served as a trusted advisor, subject matter expert, and legal counsel advising C-suite, Board of Directors, and senior leadership. I created and implemented program governance and compliance policies, processes, and procedures. My background includes having been a General Counsel, and Chief Division Ethics and Compliance Officer at the FBI. I enjoy building programs that help an organization effectively manage and resolve complex issues. I have hired, coached, and led very large teams. I give people the tools and resources they need to do their jobs independently and provide direction as needed. I also like to foster each team member’s professional development so they can advance their careers and earn promotions. One of my strengths is cross-functional collaboration to build relationships and consensus to deliver results.

Career Timeline

Professional employment history
  • Nov 2018–Present· 7 yrs 11 mos
    • Managing Director, Conduct Risk Management and Corporate ResponsibilityCurrent
      Nov 2018–Present
    • Executive, International Operations Division
      2017–2018
    • Chief Division Ethics and Compliance Officer and Chief Division Legal Counsel
      2015–2017
    • Federal Prosecutor
      2014–2015
    • Executive in Cyber and International Operations Divisions
      2010–2014
    • Assistant Legal Attaché – diplomatic role based in Athens, Greece
      2008–2010
    • Supervisory Special Agent – International Operations Division
      2006–2008
    • Division Ethics and Compliance Officer and Legal Counsel
      2002–2006
    • Associate General Counsel, Office of the General Counsel
      2000–2002
    • Special Agent, White Collar Crime Investigator
      1995–2000

Education

Certified Regulatory Compliance Professional

Georgetown University McDonough School of Business

Doctor of Law - JD

Law

Vanderbilt University Law School

Bachelor of Science - BS, Magna cum laude

Political Science and Government; French

Miami University

Executive Relationship Map

Reports To
Tracy Saale, JD, CCEP, CRCP
Vice Chair & President
Chief Financial Officer
Chief Technology Officer
Chief Operating Officer

Executive Network Preview

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Skills & Expertise

20 of 20 skills
Risk AssessmentEmployment LawMergers & Acquisitions (M&A)Internal AuditCorporate Internal InvestigationsRisk MitigationLaw EnforcementFinancial ServicesESGCultural Risk ManagementEthics AdvisorStandards of ConductOrganizational Culture & VisionConduct Risk ManagementWhistleblower ProgramLegal and Ethical ComplianceForeign Corrupt Practices Act (FCPA)Corporate ResponsibilityChief Ethics & Conduct OfficerEqual Employment Opportunity (EEO) and Human Resources