Joe Earnhardt
Director, Head of Retail, International, and Marketing Compliance, Charles Schwab
In his role, Joe leads Schwab’s compliance efforts supporting its Retail business, its International business with affiliates in the UK, Singapore, and Hong Kong, and Schwab’s enterprise Marketing organization. Joe’s team also supports broader broker-dealer needs, annuities, and research. Prior to joining Schwab in 2020, Joe held Compliance and Risk leadership roles at TD Ameritrade, Fidelity Investments, and Merrill Lynch over his more than 20 years in the industry, supporting retail, institutional, workplace, trading, clearing, and custody functions.