Matt Monius serves as the Director of Regulatory Compliance at Charles Schwab, where he plays a pivotal role in navigating the complex landscape of financial regulations. With a robust background in compliance and risk management, Matt is responsible for managing regulatory inquiries and examinations, ensuring...
Matt Monius serves as the Director of Regulatory Compliance at Charles Schwab, where he plays a pivotal role in navigating the complex landscape of financial regulations. With a robust background in compliance and risk management, Matt is responsible for managing regulatory inquiries and examinations, ensuring that the firm adheres to the highest standards of regulatory oversight. His expertise encompasses developing and implementing comprehensive written supervisory policies and procedures that not only meet regulatory requirements but also enhance operational efficiency.
In his current role, Matt leads the response to inquiries related to trading, operations, and finance, facilitating direct communication with regulators. He adeptly handles and tracks requests for information, coordinating meetings and interviews with firm personnel to ensure a thorough and transparent response process. His collaborative approach involves partnering with compliance and business teams to gather critical information, reinforcing a culture of compliance across the organization.
Matt's proficiency in data analytics and system functionality is instrumental in his role, allowing him to leverage insights from equity trading and surveillance to mitigate risks effectively. His experience with international controls further enhances his ability to navigate the complexities of global regulatory environments. With a strong command of tools like Bloomberg and Microsoft Excel, along with project management skills honed through MS Project, Matt is well-equipped to drive compliance initiatives that support the firm’s strategic objectives in capital markets and hedge funds. His commitment to fostering a compliant and risk-aware culture at Charles Schwab positions him as a key leader in the financial services industry.
