Chad Nichols

Managing Director, Chief Compliance Officer, Charles Schwab & Co.

Chad Nichols is the Managing Director, Chief Compliance Officer, at Charles Schwab & Co.

Chad serves as the Chief Compliance Officer for Charles Schwab & Co. as dual registrant Broker Dealer and Investment Adviser. He also has compliance responsibilities for the firm’s International affiliate programs and Trader, Futures and Forex businesses. Prior to joining Schwab in 2020, he was Head of Distribution & Marketing Compliance & CCO for Janus Henderson Investors.

Prior to that role, Chad held various other Compliance leadership roles with Janus Henderson Investors (formerly Janus Capital Group) as well as Betterment.

Chad is a member of the SIFMA Compliance and Legal Executive Committee, Compliance and Regulatory Policy Committee, and the FINRA Large Firm Advisory Committee.

Chad received his B.S. in Business Administration from Washington and Lee University and his J.D. from University of Denver Sturm College of Law.