Rick Paulson

Compliance Director, Charles Schwab

Rick Paulson is currently a Compliance Director at Charles Schwab. He is responsible for Trade Surveillance and Oversight and has led the team since 2018. Prior to joining Charles Schwab, Rick worked at FINRA and CBOE Global Markets in regulatory roles. Rick has an MBA from DePaul University in Finance and Strategy, Valuation, Execution. He currently holds the Series 7 and 24 licenses.