Chad Nichols

Managing Director, Compliance Charles Schwab & Co.

Chad Nichols leads the Broker Dealer Compliance and International Compliance programs at Charles Schwab. Chad also serves as the Chief Compliance Officer for CS&Co. Investment Adviser. 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 Regulatory Policy Committee, the SIFMA Senior Investors Working Group, and the Future Leaders of SIFMA C&L.

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.

Download PDF