KC Waldron

Managing Director, Regulatory Compliance Charles Schwab

KC Waldron is the Managing Director of Regulatory Compliance at Charles Schwab Corp.  Her team manages the firm’s relationships with regulators including regulatory examinations and inquiries.  Her previous roles at Schwab include leading the firm’s Distribution Compliance program which covers the firm’s business lines including retail branches, the custody platform for independent advisors, and retirement account businesses.  She has also been a director in the legal department and supported the custody platform for independent advisors.  Before joining Schwab eight years ago, she was an Enforcement Attorney for the U.S. Securities & Exchange Commission in the San Francisco Regional Office.  Prior to that, she was a securities law attorney with Morrison & Foerster LLP.  She graduated from the University of Texas School of Law (2000), and from Texas A&M University (Accounting 1997).