John C. Roeser

Managing Director & Chief Counsel Charles Schwab

Mr. Roeser is Managing Director and Chief Counsel of the Trading, Markets, and Operations Legal Group at Charles Schwab where he oversees a team that provides legal advice to the trading business.  Mr. Roeser and his team serve as strategic advisors regarding all aspects of trading in equities, options, futures, fixed income, and the fund platform.  Mr. Roeser joined Schwab in February 2022 from the Securities and Exchange Commission where he spent over 20 years as a senior policy maker and manager responsible for oversight of the U.S. equity and debt markets.  Mr. Roeser served as Associate Director in the Division of Trading and Markets where he focused on a broad range of regulatory policy and rulemaking initiatives, including market structure for equity, options, and fixed-income securities, the regulation of broker-dealers, oversight of exchanges and alternative trading systems, the dissemination of market data, and order handling practices.  Mr. Roeser received his B.A. and J.D. from Michigan State University and his LL.M. in securities and financial regulation from Georgetown University Law Center.