Brad_Ahrens

Brad Ahrens

Vice President, Compliance Surveillance Technology & Analytics, Charles Schwab

Brad Ahrens is Vice President of the Compliance Surveillance Technology and Analytics Group within Charles Schwab Corporation’s Compliance & Legal Services. Brad and his team are responsible for the ongoing business side administration of compliance surveillance and technology systems including AML transaction monitoring, KYC/EDD Risk Scoring, broker-dealer sales practice surveillance, global email surveillance and GRC compliance program management tools for Charles Schwab & Co., Inc. and Charles Schwab Bank. Brad also leads an Analytics Group that provides ongoing business intelligence for the firm’s BSA/AML programs and unique insight into bank and broker-dealer activities. Brad has been with Schwab’s Compliance Department for over 18 years and has extensive experience bridging the gap between compliance and technology. Brad is a member of the SIFMA C&L Compliance Technology Subcommittee.


Appearances