Barbara Armeli

Barbara Armeli is Managing Director and Chief Compliance Officer of Charles Schwab & Co. Prior to taking that role in February 2018, she was Vice President of Corporate Compliance, Retail Investment Advisory Compliance and Retail Compliance Testing and Monitoring. She also serves as the Investment Advisor Chief Compliance Officer at Charles Schwab & Co. Her responsibilities include Corporate Compliance Management Reporting, Compliance risk liaison and oversight, Broker-Dealer and Investment Advisor Risk Assessment and monitoring programs, Retail Compliance testing, and employee surveillance and disclosure reviews. Barbara has been with Schwab for 23 years, and has served in various senior leadership roles, including Vice President of Sales Practice Compliance, where she provided support for Retail organization. Prior to that, she led the Compliance Surveillance and Customer Complaints efforts. Prior to joining Schwab in 2000, Barbara spent 17 years at Morgan Stanley (Dean Witter) in New York, where she held several senior positions in the Compliance Department, including Assistant Compliance Director of Product Sales and Vice President of Retail Sales Compliance. She also led the Retail Compliance surveillance and testing teams. Barbara has over 35 years of Regulatory Compliance experience, and has served on numerous Committees, including the FINRA Continuing Education Committee, FINRA Large Firm Advisory Committee, and FINRA FinTech Committee. She is an active participant in the SIFMA Compliance and Legal Executive Committee, Governance Committee, and Planning Committee. Barbara attended St. John's University, where she received degrees in Political Science and English Literature.

3c. BD - Recommending Alternative or Complex Products (Intermediate)