Brad Ahrens

Vice President of the Compliance Surveillance Technology and Analytics Group, Charles Schwab & Co., Inc

Brad Ahrens is Vice President of the Compliance Surveillance Technology and Analytics Group within Charles Schwab’s Compliance Department. Brad and his team are responsible for the ongoing business side administration of compliance surveillance and technology systems including broker-dealer sales practice surveillance, global electronic communications surveillance, AML/BSA transaction monitoring, case management and GRC compliance program management tools.  His team also provides ongoing compliance guidance and support to the firm’s Digital Solutions and Technology groups.  The Analytics Group is focused on business intelligence for the firm’s surveillance programs, management reporting and insight into bank and broker-dealer activities. Brad has been with Schwab’s Compliance Department for over 20 years and is a graduate of the University of Wisconsin – Madison. He is a member of the SIFMA C&L Compliance Technology Subcommittee.